Chau Yuen Chan
陳秋源
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chau Yuen Chan (陳秋源), a licensed former licensee with CE reference AFQ905. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Gate3 Capital Limited |
RO | Type 4 — Advising on securities | 2021-11-26 | 2022-08-31 |
| Gate3 Capital Limited |
RO | Type 9 — Asset management | 2021-11-26 | 2022-08-31 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2013-07-24 | 2015-06-26 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 5 — Advising on futures contracts | 2013-07-24 | 2015-06-26 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 7 — Providing automated trading services | 2013-07-24 | 2015-06-26 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2010-12-06 | 2015-06-26 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-10-16 | 2015-06-26 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 — Dealing in securities | 2007-10-16 | 2015-06-26 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2007-10-16 | 2010-12-06 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2007-10-16 | 2013-07-24 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | 2007-10-16 | 2010-12-06 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | 2007-01-15 | 2007-10-09 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-12-11 | 2007-10-09 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2006-12-11 | 2007-10-09 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2006-11-10 |
| CLSA Futures Limited 里昂期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2006-11-10 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-03-18 |
| CLSA Futures Limited 里昂期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-03-18 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-03-18 |
| CLSA Futures Limited 里昂期貨有限公司 |
Rep | Type 9 — Asset management | present | 2004-03-18 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-03-18 |