Cathleen Karen Chan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Cathleen Karen Chan (陳嘉綸), a licensed Responsible Officer with CE reference ADR821. Currently licensed at 1 firm(s): Manulife Investment Management (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 23.4 years of SFC licence history. Total licence records on file: 20.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2026-09-10 | present |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
RO | Type 4 - Advising on securities | 2026-09-10 | present |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
RO | Type 9 - Asset management | 2026-09-10 | present |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2018-11-21 | 2026-09-10 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2018-11-21 | 2026-09-10 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
Rep | Type 9 - Asset management | 2018-11-21 | 2026-09-10 |
| Allianz Global Investors Asia Pacific Limited 安聯環球投資亞太有限公司 |
Rep | Type 1 - Dealing in securities | 2015-06-01 | 2018-09-12 |
| Allianz Global Investors Asia Pacific Limited 安聯環球投資亞太有限公司 |
Rep | Type 4 - Advising on securities | 2015-06-01 | 2018-09-12 |
| Allianz Global Investors Asia Pacific Limited 安聯環球投資亞太有限公司 |
Rep | Type 9 - Asset management | 2015-06-01 | 2018-09-12 |
| RCM Asia Pacific Limited | Rep | Type 9 - Asset management | 2010-08-16 | 2015-05-31 |
| RCM Asia Pacific Limited | Rep | Type 1 - Dealing in securities | 2007-11-07 | 2015-05-31 |
| Allianz Global Investors Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2007-11-07 | 2010-02-08 |
| RCM Asia Pacific Limited | Rep | Type 4 - Advising on securities | 2007-11-07 | 2015-05-31 |
| Allianz Global Investors Hong Kong Limited | Rep | Type 4 - Advising on securities | 2007-11-07 | 2010-02-08 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2005-01-24 | 2007-10-18 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2005-01-24 | 2007-10-18 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2004-10-19 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-10-19 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-10-19 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2007-10-18 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Cathleen Karen 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.