Ernest Tsz Kin Chan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ernest Tsz Kin Chan (陳子建), a licensed Responsible Officer with CE reference AFX173. Currently licensed at 1 firm(s): CIS Securities Asset Management Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 20.4 years of SFC licence history. Total licence records on file: 17.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
RO | Type 1 - Dealing in securities | 2023-07-11 | present |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
RO | Type 4 - Advising on securities | 2023-07-11 | present |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
RO | Type 9 - Asset management | 2023-07-11 | present |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
Rep | Type 1 - Dealing in securities | 2023-03-30 | 2023-07-11 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2023-03-30 | 2023-07-11 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
Rep | Type 9 - Asset management | 2023-03-30 | 2023-07-11 |
| Sprout Asset Management (Asia) Limited | Rep | Type 1 - Dealing in securities | 2022-07-12 | 2023-02-20 |
| Sprout Asset Management (Asia) Limited | Rep | Type 4 - Advising on securities | 2022-07-12 | 2023-02-20 |
| Sprout Asset Management (Asia) Limited | Rep | Type 9 - Asset management | 2022-07-12 | 2023-02-20 |
| Sprout Asset Management (Asia) Limited | RO | Type 1 - Dealing in securities | 2019-06-10 | 2022-07-12 |
| Sprout Asset Management (Asia) Limited | RO | Type 4 - Advising on securities | 2019-06-10 | 2022-07-12 |
| Sprout Asset Management (Asia) Limited | RO | Type 9 - Asset management | 2019-06-10 | 2022-07-12 |
| Keptain Securities and Asset Management Limited 嘉騰證券及資產管理有限公司 |
RO | Type 1 - Dealing in securities | 2013-01-24 | 2019-05-31 |
| Keptain Securities and Asset Management Limited 嘉騰證券及資產管理有限公司 |
RO | Type 9 - Asset management | 2013-01-24 | 2019-05-31 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
RO | Type 9 - Asset management | 2009-08-06 | 2010-03-16 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
Rep | Type 1 - Dealing in securities | 2007-09-12 | 2010-03-16 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2010-03-16 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ernest Tsz Kin 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.