Nicholas Alexander Yan Tat Kwan
關胤達
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas Alexander Yan Tat Kwan (關胤達), a licensed former licensee with CE reference AZJ207. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2017-08-24 | 2019-06-07 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2017-08-24 | 2019-06-07 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2017-08-24 | 2019-06-07 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2017-08-24 | 2019-06-07 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | 2017-08-24 | 2019-06-07 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2017-08-24 | 2019-06-07 |
| HSBC Corporate Finance (Hong Kong) Limited | Rep | Type 6 - Advising on corporate finance | 2012-04-27 | 2013-06-01 |