Yuan Chen
陳遠
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yuan Chen (陳遠), a licensed former licensee with CE reference AEJ844. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Sunhigh Financial Holdings Limited 聖衡金融控股有限公司 |
RO | Type 1 — Dealing in securities | 2017-06-02 | 2017-07-04 |
| Sunhigh Financial Holdings Limited 聖衡金融控股有限公司 |
RO | Type 4 — Advising on securities | 2017-06-02 | 2017-07-04 |
| Sunhigh Financial Holdings Limited 聖衡金融控股有限公司 |
RO | Type 9 — Asset management | 2017-06-02 | 2017-07-04 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2009-08-12 | 2010-09-23 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-04-28 | 2009-08-12 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
RO | Type 1 — Dealing in securities | 2006-07-15 | 2009-04-01 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
RO | Type 4 — Advising on securities | 2006-07-15 | 2009-04-01 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-04-10 | 2006-04-21 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2006-04-10 | 2006-04-21 |
| South China Securities Limited 南華證券投資有限公司 |
Rep | Type 1 — Dealing in securities | 2005-07-15 | 2006-04-08 |
| South China Research Limited 南華資料研究有限公司 |
Rep | Type 4 — Advising on securities | 2005-07-15 | 2006-04-08 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
RO | Type 4 — Advising on securities | 2004-12-07 | 2005-07-14 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
RO | Type 1 — Dealing in securities | 2004-08-30 | 2005-07-14 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 1 — Dealing in securities | 2004-01-27 | 2004-08-30 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2004-01-27 | 2004-08-30 |
| Polaris Capital (Asia) Limited 寶來資本(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-01-14 |
| Polaris Capital (Asia) Limited 寶來資本(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-01-14 |