Sophia Sok Yin Chan
陳淑妍
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sophia Sok Yin Chan (陳淑妍), a licensed former licensee with CE reference ABE984. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Redford Securities Limited 泓福證券有限公司 |
RO | Type 1 — Dealing in securities | 2011-10-18 | 2011-12-29 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-09-30 | 2009-10-28 |
| CSC Financial Services Limited 群益金融服務有限公司 |
RO | Type 1 — Dealing in securities | 2008-08-21 | 2009-10-28 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2008-08-21 | 2009-10-28 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-07-25 | 2008-08-21 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2007-03-13 | 2008-07-16 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-11-24 | 2007-03-13 |
| Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2006-07-04 | 2006-11-01 |
| Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | 2006-07-04 | 2006-11-01 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2003-12-16 | 2006-03-11 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2003-12-16 | 2006-03-11 |
| First Shanghai Securities Limited 第一上海證券有限公司 |
Rep | Type 1 — Dealing in securities | 2003-11-18 | 2003-11-19 |
| First Shanghai Futures Limited 第一上海期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2003-11-18 | 2003-11-19 |