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. Total licence records on file: 12.
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 |