Louis Shing Ming Chan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Louis Shing Ming Chan (陳成名), a licensed Responsible Officer with CE reference AEF393. Currently licensed at 1 firm(s): Quam Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 6 - Advising on corporate finance. This person has 20.7 years of SFC licence history. Total licence records on file: 22.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Quam Securities Limited 華富建業證券有限公司 |
RO | Type 1 - Dealing in securities | 2020-07-21 | present |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 6 - Advising on corporate finance | 2020-05-15 | present |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 - Dealing in securities | 2020-05-15 | 2020-07-21 |
| Mason Securities Limited 茂宸證券有限公司 |
RO | Type 1 - Dealing in securities | 2018-11-23 | 2020-04-20 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 1 - Dealing in securities | 2018-09-06 | 2018-11-23 |
| Mason Global Capital Limited 茂宸環球資本有限公司 |
Rep | Type 6 - Advising on corporate finance | 2018-09-06 | 2020-04-20 |
| Fortune Financial Capital Limited 富強金融資本有限公司 |
Rep | Type 6 - Advising on corporate finance | 2018-06-13 | 2018-08-10 |
| Fortune (HK) Securities Limited 富強證券有限公司 |
RO | Type 1 - Dealing in securities | 2018-06-13 | 2018-08-10 |
| Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司 |
RO | Type 1 - Dealing in securities | 2015-08-19 | 2018-03-14 |
| Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2015-07-10 | 2015-08-19 |
| Ping An Securities (Hong Kong) Holdings Company Limited 平安證券(香港)控股有限公司 |
RO | Type 1 - Dealing in securities | 2014-06-05 | 2015-05-31 |
| Ping An Securities (Hong Kong) Holdings Company Limited 平安證券(香港)控股有限公司 |
Rep | Type 1 - Dealing in securities | 2014-03-07 | 2014-06-05 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
RO | Type 1 - Dealing in securities | 2013-04-11 | 2014-02-28 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 - Dealing in securities | 2011-07-11 | 2013-04-11 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-11-09 | 2011-06-27 |
| Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2008-09-19 | 2009-09-21 |
| Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 |
Rep | Type 4 - Advising on securities | 2008-09-19 | 2009-09-21 |
| Mega Capital (Asia) Company Limited 兆豐資本(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2007-07-23 | 2008-05-02 |
| Mega Capital (Asia) Company Limited 兆豐資本(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2006-11-01 | 2008-05-02 |
| Beevest Securities Limited 蜂投證券有限公司 |
Rep | Type 4 - Advising on securities | 2006-11-01 | 2007-06-13 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2004-11-05 | 2006-10-05 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2004-11-05 | 2006-10-05 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Louis Shing Ming Chan during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.