Chen (SFC:AUZ701) Chen
陳晨
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chen (SFC:AUZ701) Chen (陳晨), a licensed former licensee with CE reference AUZ701. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-04-23 | 2015-05-28 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2015-04-23 | 2015-05-28 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-04-23 | 2015-05-28 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-04-23 | 2015-05-28 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2010-04-23 | 2015-05-28 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-04-23 | 2015-05-28 |