Dennis Kwok Fung Chan
陳國峰
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dennis Kwok Fung Chan (陳國峰), CE reference AMK236. Currently licensed at 3 firm(s): Carlyon Securities Limited, Carlyon Asset Management Limited, Carlyon Capital Limited. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Carlyon Securities Limited 格理昂證券有限公司 |
RO | Type 1 — Dealing in securities | 2025-08-08 | present |
| Carlyon Asset Management Limited 格理昂資產管理有限公司 |
RO | Type 4 — Advising on securities | 2025-08-08 | present |
| Carlyon Capital Limited 格理昂資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2025-08-08 | present |
| Lego Securities Limited 力高證券有限公司 |
RO | Type 1 — Dealing in securities | 2022-08-01 | 2025-02-12 |
| Lego Corporate Finance Limited 力高企業融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2022-08-01 | 2025-02-12 |
| Lego Securities Limited 力高證券有限公司 |
Rep | Type 1 — Dealing in securities | 2022-05-25 | 2022-08-01 |
| Lego Corporate Finance Limited 力高企業融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2022-05-25 | 2022-08-01 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2020-11-16 | 2022-04-08 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2020-11-16 | 2022-04-08 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2020-11-16 | 2022-04-08 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-01-14 | 2020-11-16 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2014-01-14 | 2020-11-16 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-01-14 | 2020-11-16 |
| Deloitte & Touche Corporate Finance Limited 德勤企業財務顧問有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-10-12 | 2009-03-01 |