Chien-Yao Chen
陳建堯
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chien-Yao Chen (陳建堯), a licensed former licensee with CE reference AEO696. This person has 7.1 years of SFC licence history. Total licence records on file: 10.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 |
Rep | Type 4 - Advising on securities | 2014-02-14 | 2014-04-01 |
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 |
Rep | Type 1 - Dealing in securities | 2013-05-28 | 2014-04-01 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2010-09-06 | 2012-03-31 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2010-09-06 | 2012-03-31 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2007-03-05 | 2008-01-17 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2007-01-31 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2007-01-31 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-12-02 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-12-02 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2003-12-02 |