Nicholas Wing Kwong Chan
陳永江
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas Wing Kwong Chan (陳永江), CE reference ACC181. Currently licensed at 1 firm(s): Rockpool Capital Limited. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Rockpool Capital Limited 摩石資本有限公司 |
RO | Type 1 — Dealing in securities | 2024-06-05 | present |
| Rockpool Capital Limited 摩石資本有限公司 |
RO | Type 4 — Advising on securities | 2024-06-05 | present |
| Rockpool Capital Limited 摩石資本有限公司 |
RO | Type 9 — Asset management | 2024-06-05 | present |
| Rockpool Capital Limited 摩石資本有限公司 |
Rep | Type 1 — Dealing in securities | 2023-09-22 | 2024-06-05 |
| Rockpool Capital Limited 摩石資本有限公司 |
Rep | Type 4 — Advising on securities | 2023-09-22 | 2024-06-05 |
| Rockpool Capital Limited 摩石資本有限公司 |
Rep | Type 9 — Asset management | 2023-09-22 | 2024-06-05 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 1 — Dealing in securities | 2022-01-24 | 2022-11-24 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2022-01-24 | 2022-11-24 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 4 — Advising on securities | 2022-01-24 | 2022-11-24 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 5 — Advising on futures contracts | 2022-01-24 | 2022-11-24 |
| StormHarbour Securities (Hong Kong) Limited 思博資本(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2020-03-09 | 2021-10-17 |
| StormHarbour Securities (Hong Kong) Limited 思博資本(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2020-03-09 | 2021-10-17 |
| StormHarbour Securities (Hong Kong) Limited 思博資本(香港)有限公司 |
Rep | Type 9 — Asset management | 2020-03-09 | 2021-10-17 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 9 — Asset management | 2011-07-27 | 2013-08-01 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2010-12-06 | 2013-08-01 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2010-07-09 | 2010-12-06 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-05-24 | 2013-08-01 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | present | 2006-01-25 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 — Advising on securities | present | 2004-10-14 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-10-14 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 — Asset management | present | 2004-10-14 |