Doris Sau Ying Chan
陳秀瑛
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Doris Sau Ying Chan (陳秀瑛), CE reference AAE759. Currently licensed at 2 firm(s): UOB Kay Hian (Hong Kong) Limited, UOB Kay Hian Futures (Hong Kong) Limited. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2021-09-16 | present |
| UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2021-09-16 | present |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2021-09-16 | present |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-11-22 | 2021-09-01 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 5 — Advising on futures contracts | 2004-11-22 | 2021-09-01 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 1 — Dealing in securities | present | 2021-09-01 |
| RBC Futures Services (Asia) Limited | Rep | Type 2 — Dealing in futures contracts | present | 2005-09-30 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 4 — Advising on securities | present | 2021-09-01 |
| RBC Futures Services (Asia) Limited | Rep | Type 5 — Advising on futures contracts | present | 2005-09-30 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-02-17 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 9 — Asset management | present | 2004-02-17 |
| RBC Futures Services (Asia) Limited | Rep | Type 9 — Asset management | present | 2003-06-18 |