Tat Wai Chan
陳達威
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tat Wai Chan (陳達威), CE reference AFS989. Currently licensed at 1 firm(s): Dynasty Alliance Investment Management Limited. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Dynasty Alliance Investment Management Limited 匯霸致遠投資管理有限公司 |
Rep | Type 4 — Advising on securities | 2019-08-21 | present |
| Dynasty Alliance Investment Management Limited 匯霸致遠投資管理有限公司 |
Rep | Type 9 — Asset management | 2019-08-21 | present |
| Innovest Securities Investment Limited 粵創證券投資有限公司 |
Rep | Type 1 — Dealing in securities | 2019-08-21 | 2022-07-01 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 1 — Dealing in securities | 2009-05-21 | 2010-06-18 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-05-21 | 2010-06-18 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2007-12-17 | 2008-12-01 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-12-17 | 2008-12-01 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2003-10-02 | 2006-05-07 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | present | 2006-05-07 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-09-23 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-09-23 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 9 — Asset management | present | 2003-09-23 |