Sau Han Chan
陳秀嫻
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sau Han Chan (陳秀嫻), a licensed former licensee with CE reference AUM922. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Aspenwood Capital Limited 嘉桓資本有限公司 |
Rep | Type 9 — Asset management | 2021-03-03 | 2021-06-06 |
| Aspenwood Capital Limited 嘉桓資本有限公司 |
Rep | Type 4 — Advising on securities | 2021-01-19 | 2021-06-06 |
| ABCI Securities Company Limited 農銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-03-17 | 2021-01-04 |
| ABCI Securities Company Limited 農銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2017-03-17 | 2021-01-04 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 1 — Dealing in securities | 2016-10-24 | 2017-03-05 |
| Duncan Futures Limited 鄧肯期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-10-24 | 2017-03-05 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 4 — Advising on securities | 2016-10-24 | 2017-03-05 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 — Dealing in securities | 2016-01-04 | 2016-05-31 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-01-04 | 2016-05-31 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 4 — Advising on securities | 2016-01-04 | 2016-05-31 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-11-03 | 2015-06-17 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2010-01-13 | 2014-09-27 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 4 — Advising on securities | 2010-01-13 | 2014-09-27 |