Jie (SFC:ATO813) Chen
陳洁
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Jie (SFC:ATO813) Chen (陳洁), a licensed former licensee with CE reference ATO813. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2021-08-18 | 2023-01-12 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 - Advising on corporate finance | 2021-08-18 | 2023-01-12 |
| UBS Securities Hong Kong Limited | Rep | Type 6 - Advising on corporate finance | 2016-12-19 | 2021-05-31 |
| UBS Securities Hong Kong Limited | Rep | Type 6 - Advising on corporate finance | 2012-06-07 | 2016-12-18 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2009-08-21 | 2011-05-13 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2009-08-21 | 2011-05-13 |