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), a licensed Responsible Officer with CE reference AAB559. Currently licensed at 1 firm(s): Prudential Brokerage Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance; Type 9 - Asset management. 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 |