Tak Chiu Chan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tak Chiu Chan (陳德翹), a licensed Responsible Officer with CE reference AWV321. Currently licensed at 1 firm(s): KEYSTONE CAPITAL LIMITED. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 15.1 years of SFC licence history. Total licence records on file: 24.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KEYSTONE CAPITAL LIMITED 翹石資本有限公司 |
RO | Type 9 - Asset management | 2023-03-21 | present |
| KEYSTONE CAPITAL LIMITED 翹石資本有限公司 |
RO | Type 1 - Dealing in securities | 2021-05-21 | present |
| KEYSTONE CAPITAL LIMITED 翹石資本有限公司 |
RO | Type 4 - Advising on securities | 2021-05-21 | present |
| KEYSTONE CAPITAL LIMITED 翹石資本有限公司 |
Rep | Type 1 - Dealing in securities | 2021-04-08 | 2021-05-21 |
| KEYSTONE CAPITAL LIMITED 翹石資本有限公司 |
Rep | Type 4 - Advising on securities | 2021-04-08 | 2021-05-21 |
| KEYSTONE CAPITAL LIMITED 翹石資本有限公司 |
Rep | Type 9 - Asset management | 2021-04-08 | 2023-03-21 |
| CMBC Asset Management Company Limited 民銀資產管理有限公司 |
Rep | Type 9 - Asset management | 2021-02-05 | 2021-02-05 |
| CMBC Asset Management Company Limited 民銀資產管理有限公司 |
RO | Type 9 - Asset management | 2021-02-02 | 2021-02-05 |
| CMBC Securities Company Limited 民銀證券有限公司 |
RO | Type 1 - Dealing in securities | 2020-11-30 | 2021-02-05 |
| CMBC Securities Company Limited 民銀證券有限公司 |
RO | Type 4 - Advising on securities | 2020-11-30 | 2021-02-05 |
| CMBC Asset Management Company Limited 民銀資產管理有限公司 |
Rep | Type 9 - Asset management | 2020-10-09 | 2021-02-02 |
| CMBC Securities Company Limited 民銀證券有限公司 |
Rep | Type 1 - Dealing in securities | 2020-08-28 | 2020-11-30 |
| CMBC Securities Company Limited 民銀證券有限公司 |
Rep | Type 4 - Advising on securities | 2020-08-28 | 2020-11-30 |
| China Industrial Securities International Futures Limited 興證國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2020-06-29 | 2020-08-07 |
| China Industrial Securities International Brokerage Limited 興證國際證券有限公司 |
RO | Type 1 - Dealing in securities | 2017-06-21 | 2020-08-07 |
| China Industrial Securities International Brokerage Limited 興證國際證券有限公司 |
RO | Type 4 - Advising on securities | 2017-06-21 | 2020-08-07 |
| China Industrial Securities International Brokerage Limited 興證國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2016-10-18 | 2017-06-21 |
| China Industrial Securities International Brokerage Limited 興證國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2016-10-18 | 2017-06-21 |
| KEYSTONE CAPITAL LIMITED 翹石資本有限公司 |
RO | Type 4 - Advising on securities | 2016-06-17 | 2016-10-14 |
| KEYSTONE CAPITAL LIMITED 翹石資本有限公司 |
RO | Type 9 - Asset management | 2016-06-17 | 2016-10-14 |
| Sinostar Asset Management Limited 華星資產管理有限公司 |
Rep | Type 9 - Asset management | 2015-09-09 | 2016-05-15 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-08-26 | 2015-09-01 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2011-02-22 | 2015-09-01 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2011-02-22 | 2015-09-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Tak Chiu 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.