Lap Yin (SFC:AFV376) Chan
陳立言
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lap Yin (SFC:AFV376) Chan (陳立言), a licensed former licensee with CE reference AFV376. Total licence records on file: 19.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Axial Partners Limited | RO | Type 4 — Advising on securities | 2023-11-29 | 2024-06-30 |
| Axial Partners Limited | RO | Type 9 — Asset management | 2023-11-29 | 2024-06-30 |
| Vered Asset Management Limited 薔薇資產管理有限公司 |
RO | Type 4 — Advising on securities | 2021-10-26 | 2023-06-23 |
| Vered Asset Management Limited 薔薇資產管理有限公司 |
RO | Type 9 — Asset management | 2021-10-26 | 2023-06-23 |
| GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2019-03-22 | 2020-01-20 |
| GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 |
RO | Type 9 — Asset management | 2019-03-22 | 2020-01-20 |
| GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2016-01-21 | 2019-03-22 |
| GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2016-01-21 | 2019-03-22 |
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2015-08-28 | 2020-01-20 |
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 |
Rep | Type 4 — Advising on securities | 2015-06-02 | 2016-01-21 |
| Sumo Asset Management Limited 盛門資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2013-04-02 | 2014-12-17 |
| Sumo Asset Management Limited 盛門資產管理有限公司 |
Rep | Type 9 — Asset management | 2013-04-02 | 2014-12-17 |
| Standard Advisory Asia Limited 標銀亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-02-17 | 2011-12-09 |
| Standard Advisory Asia Limited 標銀亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2009-02-17 | 2011-12-09 |
| Standard Advisory Asia Limited 標銀亞洲有限公司 |
Rep | Type 5 — Advising on futures contracts | 2009-02-17 | 2011-12-09 |
| Standard Advisory Asia Limited 標銀亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-02-04 | 2011-12-09 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-03-22 | 2008-08-05 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2003-10-30 | 2004-07-14 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 1 — Dealing in securities | 2003-07-29 | 2004-07-14 |