Ka Yan Chan
陳家寅
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Yan Chan (陳家寅), a licensed Representative with CE reference BBU615. Currently licensed at 1 firm(s): Nomura International (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts. This person has 12.3 years of SFC licence history. Total licence records on file: 14.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2024-10-03 | present |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2024-10-03 | present |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2022-05-20 | 2024-05-02 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2022-05-20 | 2024-05-02 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 - Dealing in securities | 2015-07-08 | 2022-03-25 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2015-07-08 | 2015-11-03 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2015-07-08 | 2022-03-25 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 - Advising on securities | 2015-07-08 | 2022-03-25 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2015-07-08 | 2015-11-03 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2015-07-08 | 2022-03-25 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2013-09-05 | 2015-07-03 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 - Dealing in securities | 2013-09-05 | 2015-07-03 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2013-09-05 | 2015-07-03 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 7 - Providing automated trading services | 2013-09-05 | 2015-07-03 |