Sophie Ying Wai Chan
陳瑩蕙
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sophie Ying Wai Chan (陳瑩蕙), a licensed former licensee with CE reference ALK689. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Hong Kong Limited | Rep | Type 6 - Advising on corporate finance | 2012-06-07 | 2013-09-18 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2006-09-15 | 2007-09-10 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2006-09-15 | 2007-09-10 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2004-11-11 | 2006-08-04 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 - Dealing in securities | 2004-11-11 | 2006-08-04 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2004-11-11 | 2006-08-04 |