Siu Wai Chan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Wai Chan (陳少威), a licensed Responsible Officer with CE reference AUB313. Currently licensed at 1 firm(s): Rock Hill Asset Management Limited. Active regulated activities: Type 4 - Advising on securities; Type 9 - Asset management. This person has 14.7 years of SFC licence history. Total licence records on file: 10.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Rock Hill Asset Management Limited 石山資產管理有限公司 |
RO | Type 4 - Advising on securities | 2017-06-21 | present |
| Rock Hill Asset Management Limited 石山資產管理有限公司 |
RO | Type 9 - Asset management | 2017-06-21 | present |
| SinoPac Asset Management (Asia) Limited 永豐金資產管理(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2015-11-10 | 2017-06-02 |
| SinoPac Asset Management (Asia) Limited 永豐金資產管理(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2015-11-10 | 2017-06-02 |
| SinoPac Asset Management (Asia) Limited 永豐金資產管理(亞洲)有限公司 |
Rep | Type 9 - Asset management | 2015-11-10 | 2017-06-02 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2014-01-22 | 2015-08-03 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 9 - Asset management | 2012-06-14 | 2012-08-06 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 9 - Asset management | 2011-01-27 | 2012-08-06 |
| IBTS Asia (HK) Limited 台灣工銀證亞洲(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-12-02 | 2011-01-01 |
| IBTS Asia (HK) Limited 台灣工銀證亞洲(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2009-12-02 | 2011-01-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Siu Wai 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.