Karen Ka Ning Chan
陳嘉寧
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Karen Ka Ning Chan (陳嘉寧), a licensed former licensee with CE reference AKW953. This person has 12.6 years of SFC licence history. Total licence records on file: 12.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| NF Trinity Capital (Hong Kong) Limited | Rep | Type 9 - Asset management | 2014-12-15 | 2017-08-07 |
| Nan Fung Investment Adviser Limited 南豐投資顧問有限公司 |
Rep | Type 9 - Asset management | 2013-06-11 | 2014-12-05 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2011-08-01 | 2013-01-25 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 9 - Asset management | 2011-08-01 | 2013-01-25 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 1 - Dealing in securities | 2005-12-01 | 2011-07-06 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 1 - Dealing in securities | 2004-07-05 | 2011-07-06 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 4 - Advising on securities | 2004-07-05 | 2011-07-06 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 4 - Advising on securities | 2004-07-05 | 2011-07-06 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 5 - Advising on futures contracts | 2004-07-05 | 2006-05-26 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 5 - Advising on futures contracts | 2004-07-05 | 2006-05-26 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 9 - Asset management | 2004-07-05 | 2011-07-06 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 9 - Asset management | 2004-07-05 | 2011-07-06 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Karen Ka Ning Chan during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.