Winnie (SFC:AFD453) Chan
陳韻妮
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Winnie (SFC:AFD453) Chan (陳韻妮), CE reference AFD453. Total licence records on file: 24.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| FCS Capital Limited 締壹基石資本有限公司 |
RO | Type 4 — Advising on securities | 2022-09-20 | 2023-12-31 |
| FCS Capital Limited 締壹基石資本有限公司 |
RO | Type 9 — Asset management | 2022-09-20 | 2023-12-31 |
| TNS Capital Management Limited |
RO | Type 4 — Advising on securities | 2020-11-17 | 2022-09-08 |
| TNS Capital Management Limited |
RO | Type 9 — Asset management | 2017-07-07 | 2022-09-08 |
| Mackenzie Investments Asia Limited | RO | Type 4 — Advising on securities | 2015-06-18 | 2017-04-18 |
| Mackenzie Investments Asia Limited | RO | Type 9 — Asset management | 2015-06-18 | 2017-04-18 |
| Mackenzie Investments Asia Limited | Rep | Type 4 — Advising on securities | 2015-04-22 | 2015-06-18 |
| Mackenzie Investments Asia Limited | Rep | Type 9 — Asset management | 2015-04-22 | 2015-06-18 |
| Victoire Asia Investments Limited 維勝亞洲投資有限公司 |
RO | Type 9 — Asset management | 2014-08-21 | 2015-02-18 |
| Victoire Asia Investments Limited 維勝亞洲投資有限公司 |
Rep | Type 9 — Asset management | 2014-07-10 | 2014-08-21 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 1 — Dealing in securities | 2013-10-22 | 2014-04-30 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 4 — Advising on securities | 2012-10-12 | 2014-04-30 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
RO | Type 9 — Asset management | 2012-10-12 | 2014-04-30 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 9 — Asset management | 2012-10-12 | 2014-04-30 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 1 — Dealing in securities | 2005-12-01 | 2013-03-28 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 1 — Dealing in securities | 2005-04-19 | 2013-03-28 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 4 — Advising on securities | 2005-04-19 | 2013-03-28 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 4 — Advising on securities | 2005-04-19 | 2012-10-12 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 9 — Asset management | 2005-04-19 | 2012-10-12 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 9 — Asset management | 2005-04-19 | 2012-10-12 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | present | 2003-06-25 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | present | 2003-06-25 |
| UBS Securities Asia Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-06-25 |
| UBS Securities Asia Limited | Rep | Type 9 — Asset management | present | 2003-06-25 |