Ho Ming (SFC:ACL529) Chan
陳可明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ho Ming (SFC:ACL529) Chan (陳可明), a licensed former licensee with CE reference ACL529. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Harris Fraser (International) Limited 晉裕環球資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2010-06-04 | 2013-06-03 |
| Harris Fraser (International) Limited 晉裕環球資產管理有限公司 |
Rep | Type 7 — Providing automated trading services | 2010-06-04 | 2011-08-30 |
| Harris Fraser (International) Limited 晉裕環球資產管理有限公司 |
Rep | Type 9 — Asset management | 2010-06-04 | 2013-06-03 |
| XinKong International Securities Limited 信控國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-04-07 | 2010-05-28 |
| XinKong International Securities Limited 信控國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-04-07 | 2010-05-28 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-02-23 | 2009-09-04 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-02-23 | 2009-09-04 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-05-02 | 2008-10-26 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-04-02 | 2008-10-26 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-02-06 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-02-06 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-02-06 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2004-02-06 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-02-06 |