Nicholas Wing Kwong Chan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas Wing Kwong Chan (陳永江), a licensed Responsible Officer with CE reference ACC181. Currently licensed at 1 firm(s): Rockpool Capital Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 15.4 years of SFC licence history. Total licence records on file: 21.
Information
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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 | Pre-2003 | 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 | Pre-2003 | 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 | Pre-2003 | 2004-10-14 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-10-14 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Nicholas Wing Kwong 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.