Ka Wai (SFC:AKO666) Chan
陳嘉威
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Wai (SFC:AKO666) Chan (陳嘉威), a licensed former licensee with CE reference AKO666. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Principal Global Investors (Hong Kong) Limited 信安環球投資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2009-08-31 | 2012-06-19 |
| Principal Global Investors (Hong Kong) Limited 信安環球投資(香港)有限公司 |
Rep | Type 9 — Asset management | 2009-08-31 | 2012-06-19 |
| Principal Global Investors (Hong Kong) Limited 信安環球投資(香港)有限公司 |
Rep | Type 9 — Asset management | 2007-07-10 | 2008-01-18 |
| Principal Asset Management Company (Asia) Limited 信安資金管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | 2007-07-10 | 2009-08-31 |
| Principal Global Investors (Hong Kong) Limited 信安環球投資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2007-06-11 | 2008-01-18 |
| Principal Asset Management Company (Asia) Limited 信安資金管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2007-06-11 | 2009-08-31 |
| Haitong International Research Limited 海通國際研究有限公司 |
Rep | Type 4 — Advising on securities | 2006-12-07 | 2007-06-04 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2006-08-08 | 2006-12-04 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-06-28 | 2006-07-24 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-06-28 | 2006-07-24 |