Yi-Yin Chen
陳怡吟
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yi-Yin Chen (陳怡吟), CE reference AXB314. Currently licensed at 2 firm(s): Guotai Junan Capital Limited, Guotai Junan Securities (Hong Kong) Limited. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guotai Junan Capital Limited 國泰君安融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2022-06-09 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2020-07-15 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2020-07-15 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-07-10 | 2020-07-15 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2012-07-10 | 2020-07-15 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-03-25 | 2012-06-24 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-03-25 | 2012-06-24 |