Ka Wah Chan
陳家驊
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Wah Chan (陳家驊), a licensed former licensee with CE reference ACT175. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 |
RO | Type 1 — Dealing in securities | 2021-11-25 | 2024-01-01 |
| Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2021-11-25 | 2024-01-01 |
| Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 |
RO | Type 4 — Advising on securities | 2021-11-25 | 2024-01-01 |
| Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 |
RO | Type 5 — Advising on futures contracts | 2021-11-25 | 2024-01-01 |
| Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 |
RO | Type 9 — Asset management | 2021-11-25 | 2024-01-01 |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | 2010-11-26 | 2020-10-31 |
| Guotai Junan FX Limited 國泰君安外匯有限公司 |
RO | Type 3 — Leveraged foreign exchange trading | 2010-10-21 | 2020-10-31 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2020-10-31 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-02-25 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-02-25 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-02-25 |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | present | 2020-10-31 |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | present | 2004-02-25 |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
RO | Type 9 — Asset management | present | 2004-02-25 |