Ka Chun (SFC:ABG469) Chan
陳家俊
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Chun (SFC:ABG469) Chan (陳家俊), CE reference ABG469. Currently licensed at 4 firm(s): China International Capital Corporation Hong Kong Asset Management Limited, China International Capital Corporation Hong Kong Securities Limited, China International Capital Corporation Hong Kong Futures Limited, CICC US Securities (Hong Kong) Limited. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China International Capital Corporation Hong Kong Asset Management Limited 中國國際金融香港資產管理有限公司 |
Rep | Type 9 — Asset management | 2023-04-28 | present |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 4 — Advising on securities | 2016-04-19 | present |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2012-08-28 | present |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 5 — Advising on futures contracts | 2012-08-28 | present |
| China International Capital Corporation Hong Kong Futures Limited 中國國際金融香港期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2011-10-03 | present |
| China International Capital Corporation Hong Kong Futures Limited 中國國際金融香港期貨有限公司 |
RO | Type 5 — Advising on futures contracts | 2011-10-03 | present |
| CICC US Securities (Hong Kong) Limited 中金美國證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2011-07-26 | present |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 1 — Dealing in securities | 2011-06-24 | present |
| CICC US Securities, Inc. |
RO | Type 1 — Dealing in securities | 2011-07-26 | 2011-10-31 |
| CICC US Securities (Hong Kong) Limited 中金美國證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-06-24 | 2011-07-26 |
| CICC US Securities, Inc. |
Rep | Type 1 — Dealing in securities | 2011-06-24 | 2011-07-26 |
| China International Capital Corporation Hong Kong Futures Limited 中國國際金融香港期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-06-24 | 2011-10-03 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 7 — Providing automated trading services | 2009-02-20 | 2011-03-30 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-07-20 | 2011-03-30 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | present | 2011-03-30 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 — Advising on securities | present | 2004-06-09 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-06-09 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 — Asset management | present | 2004-06-09 |