Ernest Tsz Kin Chan
陳子建
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ernest Tsz Kin Chan (陳子建), CE reference AFX173. Currently licensed at 1 firm(s): CIS Securities Asset Management Limited. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2023-07-11 | present |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
RO | Type 4 — Advising on securities | 2023-07-11 | present |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
RO | Type 9 — Asset management | 2023-07-11 | present |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2023-03-30 | 2023-07-11 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2023-03-30 | 2023-07-11 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
Rep | Type 9 — Asset management | 2023-03-30 | 2023-07-11 |
| Sprout Asset Management (Asia) Limited | Rep | Type 1 — Dealing in securities | 2022-07-12 | 2023-02-20 |
| Sprout Asset Management (Asia) Limited | Rep | Type 4 — Advising on securities | 2022-07-12 | 2023-02-20 |
| Sprout Asset Management (Asia) Limited | Rep | Type 9 — Asset management | 2022-07-12 | 2023-02-20 |
| Sprout Asset Management (Asia) Limited | RO | Type 1 — Dealing in securities | 2019-06-10 | 2022-07-12 |
| Sprout Asset Management (Asia) Limited | RO | Type 4 — Advising on securities | 2019-06-10 | 2022-07-12 |
| Sprout Asset Management (Asia) Limited | RO | Type 9 — Asset management | 2019-06-10 | 2022-07-12 |
| Keptain Securities and Asset Management Limited 嘉騰證券及資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2013-01-24 | 2019-05-31 |
| Keptain Securities and Asset Management Limited 嘉騰證券及資產管理有限公司 |
RO | Type 9 — Asset management | 2013-01-24 | 2019-05-31 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
RO | Type 9 — Asset management | 2009-08-06 | 2010-03-16 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2007-09-12 | 2010-03-16 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
Rep | Type 4 — Advising on securities | present | 2010-03-16 |