Kuan-Ting Chen
陳冠婷
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kuan-Ting Chen (陳冠婷), CE reference AFQ371. Currently licensed at 1 firm(s): Barclays Capital Asia Limited. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2016-11-30 | present |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2016-11-30 | present |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-08-29 | 2016-11-30 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-08-29 | 2016-11-30 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2008-10-06 | 2011-05-25 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | 2008-10-06 | 2011-05-25 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2008-09-18 | 2011-05-25 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2008-09-18 | 2011-05-25 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | 2008-09-18 | 2011-05-25 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | 2008-09-18 | 2011-05-25 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2005-06-30 | 2008-06-30 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-06-30 | 2008-06-30 |