Ricky Kai Ming Chan
陳啟明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ricky Kai Ming Chan (陳啟明), a licensed Responsible Officer with CE reference AOU629. Currently licensed at 1 firm(s): Grand China Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 17.2 years of SFC licence history. Total licence records on file: 31.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Grand China Securities Limited 華業證券有限公司 |
RO | Type 1 - Dealing in securities | 2025-10-13 | present |
| Grand China Securities Limited 華業證券有限公司 |
RO | Type 4 - Advising on securities | 2025-10-13 | present |
| Grand China Securities Limited 華業證券有限公司 |
RO | Type 9 - Asset management | 2025-10-13 | present |
| Grand China Securities Limited 華業證券有限公司 |
Rep | Type 1 - Dealing in securities | 2025-09-16 | 2025-10-13 |
| Grand China Securities Limited 華業證券有限公司 |
Rep | Type 4 - Advising on securities | 2025-09-16 | 2025-10-13 |
| Grand China Securities Limited 華業證券有限公司 |
Rep | Type 9 - Asset management | 2025-09-16 | 2025-10-13 |
| Pantheon Securities Limited 全利證券有限公司 |
RO | Type 1 - Dealing in securities | 2022-05-11 | 2025-07-31 |
| Fenghua Asset Management Limited 豐華資產管理有限公司 |
RO | Type 4 - Advising on securities | 2019-12-12 | 2025-06-16 |
| Fenghua Asset Management Limited 豐華資產管理有限公司 |
RO | Type 9 - Asset management | 2019-12-12 | 2025-06-16 |
| OCI Asset Management Company Limited 東建資產管理有限公司 |
RO | Type 4 - Advising on securities | 2018-05-09 | 2019-04-05 |
| OCI Asset Management Company Limited 東建資產管理有限公司 |
RO | Type 9 - Asset management | 2018-05-09 | 2019-04-05 |
| Sinostar Asset Management Limited 華星資產管理有限公司 |
RO | Type 9 - Asset management | 2017-02-28 | 2018-02-17 |
| Sinostar Securities Limited 華星證券有限公司 |
RO | Type 1 - Dealing in securities | 2016-11-21 | 2018-02-17 |
| Sinostar Asset Management Limited 華星資產管理有限公司 |
RO | Type 4 - Advising on securities | 2016-11-02 | 2018-02-17 |
| Zynergy Asset Management Limited 晟智資產管理有限公司 |
RO | Type 9 - Asset management | 2013-10-10 | 2016-06-10 |
| Ark Securities (Hong Kong) Limited 同舟證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2011-10-07 | 2013-09-14 |
| Ark Futures (Hong Kong) Limited 同舟期貨（香港）有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-10-07 | 2013-09-14 |
| Ark Securities (Hong Kong) Limited 同舟證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2011-10-07 | 2013-09-14 |
| Ark Futures (Hong Kong) Limited 同舟期貨（香港）有限公司 |
Rep | Type 5 - Advising on futures contracts | 2011-10-07 | 2013-09-14 |
| Ark Securities (Hong Kong) Limited 同舟證券(香港)有限公司 |
Rep | Type 9 - Asset management | 2011-10-07 | 2013-09-14 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2008-11-24 | 2011-10-01 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-11-24 | 2011-10-01 |
| Haitong International Asset Management Limited 海通國際資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2008-11-24 | 2011-10-01 |
| Haitong International Asset Management Limited 海通國際資產管理有限公司 |
Rep | Type 5 - Advising on futures contracts | 2008-11-24 | 2011-10-01 |
| Haitong International Asset Management Limited 海通國際資產管理有限公司 |
Rep | Type 9 - Asset management | 2008-11-24 | 2011-10-01 |
| Haitong International Investment Managers Limited 海通國際投資經理有限公司 |
Rep | Type 9 - Asset management | 2008-11-24 | 2011-10-01 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2007-08-28 | 2008-04-04 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-08-28 | 2008-04-04 |
| Haitong International Asset Management Limited 海通國際資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2007-04-13 | 2008-04-04 |
| Haitong International Asset Management Limited 海通國際資產管理有限公司 |
Rep | Type 5 - Advising on futures contracts | 2007-04-13 | 2008-04-04 |
| Haitong International Asset Management Limited 海通國際資產管理有限公司 |
Rep | Type 9 - Asset management | 2007-04-13 | 2008-04-04 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ricky Kai Ming 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.