Lee Quan Chan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lee Quan Chan, a licensed Responsible Officer with CE reference BLJ949. Currently licensed at 1 firm(s): Nuvama Investment Advisors (Hongkong) Private Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities; Type 5 — Advising on futures contracts. Total licence records on file: 14.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →More firms doing Advising on futures contracts →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nuvama Investment Advisors (Hongkong) Private Limited |
RO | Type 1 — Dealing in securities | 2023-11-29 | present |
| Nuvama Investment Advisors (Hongkong) Private Limited |
RO | Type 2 — Dealing in futures contracts | 2023-11-29 | present |
| Nuvama Investment Advisors (Hongkong) Private Limited |
RO | Type 4 — Advising on securities | 2023-11-29 | present |
| Nuvama Investment Advisors (Hongkong) Private Limited |
RO | Type 5 — Advising on futures contracts | 2023-11-29 | present |
| Nuvama Investment Advisors (Hongkong) Private Limited |
Rep | Type 4 — Advising on securities | 2023-11-20 | 2023-11-29 |
| RiverCircle Investments Limited 合河投資有限公司 |
Rep | Type 4 — Advising on securities | 2023-04-19 | 2023-11-06 |
| RiverCircle Investments Limited 合河投資有限公司 |
Rep | Type 9 — Asset management | 2023-04-19 | 2023-11-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2022-07-04 | 2023-03-02 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2022-07-04 | 2023-03-02 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2022-07-04 | 2023-03-02 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2017-11-06 | 2022-03-30 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2017-11-06 | 2022-03-30 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2017-11-06 | 2022-03-30 |
| UBS Securities Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2017-11-06 | 2022-03-30 |