Yan Chen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yan Chen (陳彥), a licensed Responsible Officer with CE reference ALZ159. Currently licensed at 1 firm(s): China International Capital Corporation Hong Kong Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities. This person has 15.6 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 1 - Dealing in securities | 2020-05-25 | present |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 4 - Advising on securities | 2020-05-25 | present |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 1 - Dealing in securities | 2015-04-17 | 2020-05-25 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 4 - Advising on securities | 2015-04-17 | 2020-05-25 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2006-09-25 | 2010-03-22 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2006-09-25 | 2010-03-22 |
| Allard Partners Limited 全亞達投資有限公司 |
Rep | Type 9 - Asset management | 2005-06-22 | 2006-05-18 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Yan Chen 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.