Scott Chen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Scott Chen, a licensed Representative with CE reference AIC497. Currently licensed at 1 firm(s): CVC Asia Pacific Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CVC Asia Pacific Limited |
Rep | Type 4 - Advising on securities | 2019-04-08 | present |
| CVC Asia Pacific Limited |
Rep | Type 1 - Dealing in securities | 2019-03-22 | present |
| CVC Asia Pacific Limited |
Rep | Type 6 - Advising on corporate finance | 2019-03-22 | present |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2014-04-10 | 2018-11-20 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 - Advising on corporate finance | 2014-04-10 | 2018-11-20 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2012-03-05 | 2013-12-17 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2008-10-13 | 2009-04-16 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2008-10-13 | 2009-04-16 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 - Advising on securities | present | 2008-09-29 |
| Lehman Brothers Asia Holdings Limited 美國雷曼兄弟亞洲控股有限公司 |
Rep | Type 4 - Advising on securities | present | 2003-08-12 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 6 - Advising on corporate finance | present | 2008-09-29 |
| Lehman Brothers Asia Holdings Limited 美國雷曼兄弟亞洲控股有限公司 |
Rep | Type 6 - Advising on corporate finance | present | 2003-08-12 |
| Lehman Brothers Asia Holdings Limited 美國雷曼兄弟亞洲控股有限公司 |
Rep | Type 9 - Asset management | present | 2003-08-12 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 9 - Asset management | present | 2003-08-12 |