Chi Yan Lawrence Kwan
關智仁
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chi Yan Lawrence Kwan (關智仁), CE reference AQC409. Currently licensed at 1 firm(s): Barclays Capital Asia Limited. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2026-01-14 | present |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2026-01-14 | present |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2020-07-06 | 2023-05-24 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 — Dealing in securities | 2020-07-06 | 2023-05-24 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2020-07-06 | 2023-05-24 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 7 — Providing automated trading services | 2020-07-06 | 2023-05-24 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2013-11-18 | 2018-02-27 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2013-11-18 | 2018-02-27 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2013-11-18 | 2018-02-27 |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-07-11 | 2013-04-05 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2008-10-13 | 2012-05-31 |
| Newedge Broker Hong Kong Limited 新際經紀香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-10-13 | 2012-05-31 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-10-13 | 2012-05-31 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2007-11-28 | 2009-07-31 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-11-28 | 2009-07-31 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 7 — Providing automated trading services | 2007-11-28 | 2009-07-31 |