Yi-Yin Chen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yi-Yin Chen (陳怡吟), a licensed Responsible Officer with CE reference AXB314. Currently licensed at 2 firm(s): Guotai Junan Capital Limited, Guotai Junan Securities (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. This person has 15.4 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guotai Junan Capital Limited 國泰君安融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2022-06-09 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2020-07-15 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2020-07-15 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-07-10 | 2020-07-15 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2012-07-10 | 2020-07-15 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2011-03-25 | 2012-06-24 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-03-25 | 2012-06-24 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Yi-Yin 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.