Richard Chi-Sheng Chen
陳其盛
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Chi-Sheng Chen (陳其盛), a licensed former licensee with CE reference AIY923. This person has 11.0 years of SFC licence history. Total licence records on file: 22.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2018-05-28 | 2018-10-01 |
| Core Pacific-Yamaichi Capital Limited 京華山一企業融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2018-05-28 | 2018-10-01 |
| Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2018-02-21 | 2018-10-01 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2016-07-01 | 2018-10-01 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
RO | Type 4 - Advising on securities | 2016-07-01 | 2018-10-01 |
| Core Pacific - Yamaichi Asset Management Limited 京華山一資產管理有限公司 |
RO | Type 9 - Asset management | 2013-12-17 | 2018-10-01 |
| Core Pacific-Yamaichi Capital Limited 京華山一企業融資有限公司 |
RO | Type 1 - Dealing in securities | 2013-05-13 | 2018-10-01 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2012-03-19 | 2016-06-30 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2012-03-19 | 2016-06-30 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
RO | Type 4 - Advising on securities | 2012-03-19 | 2016-06-30 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-03-01 | 2012-03-19 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-03-01 | 2012-03-19 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2012-03-01 | 2012-03-19 |
| FB Securities (Hong Kong) Limited 富銀證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2009-12-24 | 2011-12-31 |
| FB Securities (Hong Kong) Limited 富銀證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2009-12-24 | 2011-12-31 |
| FB Securities (Hong Kong) Limited 富銀證券(香港)有限公司 |
RO | Type 9 - Asset management | 2009-12-24 | 2011-12-31 |
| Fubon Fund Management (Hong Kong) Limited 富邦基金管理(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2007-10-25 | 2011-12-31 |
| Fubon Fund Management (Hong Kong) Limited 富邦基金管理(香港)有限公司 |
RO | Type 4 - Advising on securities | 2007-10-25 | 2011-12-31 |
| Fubon Fund Management (Hong Kong) Limited 富邦基金管理(香港)有限公司 |
RO | Type 9 - Asset management | 2007-10-25 | 2011-12-31 |
| Fubon Fund Management (Hong Kong) Limited 富邦基金管理(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2007-08-10 | 2007-10-25 |
| Fubon Fund Management (Hong Kong) Limited 富邦基金管理(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2007-08-10 | 2007-10-25 |
| Fubon Fund Management (Hong Kong) Limited 富邦基金管理(香港)有限公司 |
Rep | Type 9 - Asset management | 2007-08-10 | 2007-10-25 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Richard Chi-Sheng Chen 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.