Ka Wai Chan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Wai Chan (陳嘉慧), a licensed Responsible Officer with CE reference APP683. Currently licensed at 2 firm(s): Vantum Securities and Futures Limited, Vantum Asset Management Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities; Type 9 - Asset management. This person has 15.9 years of SFC licence history. Total licence records on file: 24.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Vantum Securities and Futures Limited 壹號證券期貨有限公司 |
RO | Type 1 - Dealing in securities | 2025-03-27 | present |
| Vantum Securities and Futures Limited 壹號證券期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2024-05-07 | present |
| Vantum Asset Management Limited 壹號資產管理有限公司 |
RO | Type 4 - Advising on securities | 2023-05-05 | present |
| Vantum Asset Management Limited 壹號資產管理有限公司 |
RO | Type 9 - Asset management | 2023-05-05 | present |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 - Dealing in securities | 2018-05-10 | 2022-02-28 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2018-05-10 | 2022-02-28 |
| Zhongtai International Securities Limited 中泰國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2017-10-18 | 2018-04-25 |
| Zhongtai International Futures Limited 中泰國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2017-10-18 | 2018-04-25 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 - Dealing in securities | 2016-06-23 | 2016-10-13 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-06-23 | 2016-10-13 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 4 - Advising on securities | 2016-06-23 | 2016-10-13 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2015-03-24 | 2016-03-02 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2014-08-14 | 2016-03-02 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-04-01 | 2016-03-02 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2014-04-01 | 2016-03-02 |
| Frontier Capital Management Limited 方達資本管理有限公司 |
Rep | Type 4 - Advising on securities | 2013-11-04 | 2014-03-11 |
| Frontier Capital Management Limited 方達資本管理有限公司 |
Rep | Type 9 - Asset management | 2013-11-04 | 2014-03-11 |
| Frontier Capital Management Limited 方達資本管理有限公司 |
Rep | Type 1 - Dealing in securities | 2013-06-26 | 2014-03-11 |
| Zhongtai International Futures Limited 中泰國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-03-04 | 2013-06-17 |
| Zhongtai International Securities Limited 中泰國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2013-01-03 | 2013-06-17 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-12-03 | 2012-09-28 |
| UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2009-12-03 | 2012-09-28 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 1 - Dealing in securities | 2007-09-10 | 2009-11-30 |
| Celestial Commodities Limited 時富商品有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-09-10 | 2009-11-30 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ka Wai 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.