Ping-Yu Chen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ping-Yu Chen (陳品妤), a licensed Responsible Officer with CE reference ANX197. Currently licensed at 1 firm(s): Yuanta Securities (Hong Kong) Company Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities. This person has 18.2 years of SFC licence history. Total licence records on file: 20.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2016-12-22 | present |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2016-12-22 | present |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2016-11-07 | 2016-12-22 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2016-11-07 | 2016-12-22 |
| Cathay Securities (Hong Kong) Limited 國泰證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2015-08-10 | 2016-10-29 |
| Cathay Securities (Hong Kong) Limited 國泰證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2015-08-10 | 2016-10-29 |
| Cathay Securities (Hong Kong) Limited 國泰證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2015-08-07 | 2015-08-10 |
| Cathay Securities (Hong Kong) Limited 國泰證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2015-08-07 | 2015-08-10 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
RO | Type 1 - Dealing in securities | 2012-12-03 | 2015-06-01 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
RO | Type 4 - Advising on securities | 2012-12-03 | 2015-06-01 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2010-08-19 | 2015-06-01 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2010-07-30 | 2015-06-01 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
RO | Type 4 - Advising on securities | 2010-07-30 | 2015-06-01 |
| Aisance Asset Management Limited 君達資產管理有限公司 |
Rep | Type 9 - Asset management | 2009-12-22 | 2013-02-21 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-09-07 | 2010-08-19 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2009-09-07 | 2010-07-30 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2009-09-07 | 2015-06-01 |
| QMIS Securities Limited 華亞證券有限公司 |
RO | Type 1 - Dealing in securities | 2009-07-24 | 2009-08-17 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
Rep | Type 1 - Dealing in securities | 2006-10-27 | 2008-03-14 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
Rep | Type 4 - Advising on securities | 2006-10-27 | 2008-03-14 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ping-Yu 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.