Cheng Chen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Cheng Chen (陳誠), a licensed Responsible Officer with CE reference BFY640. Currently licensed at 1 firm(s): Shenwan Hongyuan Capital (H.K.) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. This person has 10.9 years of SFC licence history. Total licence records on file: 16.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2022-12-16 | present |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
RO | Type 4 - Advising on securities | 2022-12-16 | present |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2022-12-16 | present |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2022-09-08 | 2022-12-16 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2022-09-08 | 2022-12-16 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2022-09-08 | 2022-12-16 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2020-07-16 | 2022-08-25 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 4 - Advising on securities | 2020-07-16 | 2022-08-25 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2020-07-16 | 2022-08-25 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2019-07-16 | 2020-07-16 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2019-07-16 | 2020-07-16 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2019-07-16 | 2020-07-16 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 - Dealing in securities | 2015-08-04 | 2019-06-21 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2015-08-04 | 2019-06-21 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 - Advising on securities | 2015-08-04 | 2019-06-21 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2015-08-04 | 2019-06-21 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Cheng Chen during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.