Yuan (SFC:ARA235) Chen
陳縓
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yuan (SFC:ARA235) Chen (陳縓), a licensed former licensee with CE reference ARA235. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2022-02-08 | 2025-09-16 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2022-02-08 | 2025-09-16 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-10-11 | 2021-10-23 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2015-09-11 | 2021-10-23 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2015-09-11 | 2016-10-10 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2008-10-09 | 2015-08-07 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-10-09 | 2015-08-07 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 - Dealing in securities | 2008-05-19 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-05-19 | 2008-09-29 |