Alice Wong Kam Chan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alice Wong Kam Chan (陳旺金), a licensed Responsible Officer with CE reference AAB559. Currently licensed at 1 firm(s): Prudential Brokerage Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance; Type 9 - Asset management. This person has 23.4 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 1 - Dealing in securities | Pre-2003 | present |
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 4 - Advising on securities | Pre-2003 | present |
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 6 - Advising on corporate finance | Pre-2003 | present |
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 9 - Asset management | Pre-2003 | present |
| Tian Yuan Finance Limited 天元金融有限公司 |
RO | Type 1 - Dealing in securities | Pre-2003 | 2016-06-30 |
| Tian Yuan Finance Limited 天元金融有限公司 |
RO | Type 4 - Advising on securities | Pre-2003 | 2016-06-30 |
| Tian Yuan Finance Limited 天元金融有限公司 |
RO | Type 6 - Advising on corporate finance | Pre-2003 | 2016-10-27 |
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 7 - Providing automated trading services | Pre-2003 | 2008-04-21 |
| Tian Yuan Finance Limited 天元金融有限公司 |
RO | Type 9 - Asset management | Pre-2003 | 2016-08-15 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Alice Wong Kam Chan 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.