Alice Wong Kam Chan
陳旺金
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alice Wong Kam Chan (陳旺金), CE reference AAB559. Currently licensed at 1 firm(s): Prudential Brokerage Limited. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 1 — Dealing in securities | present | present |
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 4 — Advising on securities | present | present |
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 6 — Advising on corporate finance | present | present |
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 9 — Asset management | present | present |
| Tian Yuan Finance Limited 天元金融有限公司 |
RO | Type 1 — Dealing in securities | present | 2016-06-30 |
| Tian Yuan Finance Limited 天元金融有限公司 |
RO | Type 4 — Advising on securities | present | 2016-06-30 |
| Tian Yuan Finance Limited 天元金融有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2016-10-27 |
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 7 — Providing automated trading services | present | 2008-04-21 |
| Tian Yuan Finance Limited 天元金融有限公司 |
RO | Type 9 — Asset management | present | 2016-08-15 |