Alan Bing Chen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alan Bing Chen, CE reference AEH768. Currently licensed at 2 firm(s): Macquarie Capital Limited, Macquarie Asia Securities Limited. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2024-10-22 | present |
| Macquarie Asia Securities Limited |
Rep | Type 1 — Dealing in securities | 2020-09-30 | present |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
RO | Type 1 — Dealing in securities | 2018-09-05 | 2024-10-22 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2017-11-09 | 2018-09-05 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2014-08-05 | 2016-01-21 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-08-05 | 2016-01-21 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2010-06-14 | 2014-03-10 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
RO | Type 4 — Advising on securities | 2010-06-14 | 2014-03-10 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-11-04 | 2010-06-14 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-11-04 | 2014-03-10 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2009-09-10 |
| CLSA Futures Limited 里昂期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2009-09-10 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-05-04 |
| CLSA Futures Limited 里昂期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-05-04 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-05-04 |
| CLSA Futures Limited 里昂期貨有限公司 |
Rep | Type 9 — Asset management | present | 2004-05-04 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-05-04 |