Yu Chen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yu Chen (陳裕), a licensed Responsible Officer with CE reference AQS372. Currently licensed at 2 firm(s): Founder Asset Management (Hong Kong) Limited, Founder Securities (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 16.7 years of SFC licence history. Total licence records on file: 24.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Founder Asset Management (Hong Kong) Limited 方正資產管理(香港)有限公司 |
RO | Type 9 - Asset management | 2025-09-17 | present |
| Founder Securities (Hong Kong) Limited 方正證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2025-06-13 | present |
| Founder Securities (Hong Kong) Limited 方正證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2025-06-13 | present |
| Founder Securities (Hong Kong) Limited 方正證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2025-05-02 | 2025-06-13 |
| Founder Securities (Hong Kong) Limited 方正證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2025-05-02 | 2025-06-13 |
| Founder Asset Management (Hong Kong) Limited 方正資產管理(香港)有限公司 |
Rep | Type 9 - Asset management | 2025-05-02 | 2025-09-17 |
| Donghai International Securities (Hong Kong) Limited 東海國際證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2019-06-18 | 2025-04-06 |
| Donghai International Asset Management (Hong Kong) Limited 東海國際資產管理(香港)有限公司 |
RO | Type 4 - Advising on securities | 2018-12-20 | 2025-04-06 |
| Donghai International Asset Management (Hong Kong) Limited 東海國際資產管理(香港)有限公司 |
RO | Type 9 - Asset management | 2018-12-20 | 2025-04-06 |
| Shanxi Securities International Asset Management Limited 山證國際資產管理有限公司 |
RO | Type 4 - Advising on securities | 2017-03-21 | 2017-11-19 |
| Shanxi Securities International Asset Management Limited 山證國際資產管理有限公司 |
RO | Type 5 - Advising on futures contracts | 2017-03-21 | 2017-11-19 |
| Shanxi Securities International Asset Management Limited 山證國際資產管理有限公司 |
RO | Type 9 - Asset management | 2016-11-02 | 2017-11-19 |
| Shanxi Securities International Asset Management Limited 山證國際資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2016-10-03 | 2017-03-21 |
| Shanxi Securities International Asset Management Limited 山證國際資產管理有限公司 |
Rep | Type 9 - Asset management | 2016-10-03 | 2016-11-02 |
| Fosun International Securities Limited 復星國際證券有限公司 |
RO | Type 1 - Dealing in securities | 2015-07-14 | 2016-08-15 |
| Fosun International Securities Limited 復星國際證券有限公司 |
RO | Type 9 - Asset management | 2015-07-14 | 2016-08-15 |
| Fosun International Securities Limited 復星國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2015-05-04 | 2015-07-14 |
| Fosun International Securities Limited 復星國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2015-05-04 | 2016-08-15 |
| Fosun International Securities Limited 復星國際證券有限公司 |
Rep | Type 9 - Asset management | 2015-05-04 | 2015-07-14 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2014-06-09 | 2015-03-31 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2013-03-20 | 2015-03-31 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-05-05 | 2015-03-31 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 9 - Asset management | 2010-08-27 | 2015-03-31 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2008-05-30 | 2013-03-20 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as 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.