Doris Sau Ying Chan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Doris Sau Ying Chan (陳秀瑛), a licensed Representative with CE reference AAE759. Currently licensed at 2 firm(s): UOB Kay Hian (Hong Kong) Limited, UOB Kay Hian Futures (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities. This person has 23.3 years of SFC licence history. Total licence records on file: 12.
Information
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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 | Pre-2003 | 2021-09-01 |
| RBC Futures Services (Asia) Limited | Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2005-09-30 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2021-09-01 |
| RBC Futures Services (Asia) Limited | Rep | Type 5 - Advising on futures contracts | Pre-2003 | 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 | Pre-2003 | 2004-02-17 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-02-17 |
| RBC Futures Services (Asia) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2003-06-18 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Doris Sau Ying 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.