Yat Sun Chen
陳一新
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yat Sun Chen (陳一新), a licensed former licensee with CE reference ABU367. This person has 15.6 years of SFC licence history. Total licence records on file: 35.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HS Securities Limited 和升證券有限公司 |
RO | Type 4 - Advising on securities | 2019-06-28 | 2020-10-31 |
| HS Securities Limited 和升證券有限公司 |
RO | Type 9 - Asset management | 2019-06-28 | 2020-10-31 |
| HS Securities Limited 和升證券有限公司 |
RO | Type 1 - Dealing in securities | 2018-05-14 | 2020-10-31 |
| Core Securities Company Limited (The) 核聚證券有限公司 |
RO | Type 9 - Asset management | 2015-06-02 | 2017-04-26 |
| Core Securities Company Limited (The) 核聚證券有限公司 |
RO | Type 1 - Dealing in securities | 2014-09-22 | 2017-04-26 |
| Core Securities Company Limited (The) 核聚證券有限公司 |
RO | Type 4 - Advising on securities | 2014-09-22 | 2017-04-26 |
| Open Securities Limited 開盤證券有限公司 |
RO | Type 1 - Dealing in securities | 2013-06-19 | 2014-03-09 |
| Open Asset Management Limited 開盤資産管理有限公司 |
RO | Type 4 - Advising on securities | 2013-06-19 | 2014-03-09 |
| Open Securities Limited 開盤證券有限公司 |
RO | Type 4 - Advising on securities | 2013-06-19 | 2014-03-09 |
| Open Securities Limited 開盤證券有限公司 |
RO | Type 2 - Dealing in futures contracts | 2013-02-26 | 2014-03-09 |
| Open Asset Management Limited 開盤資産管理有限公司 |
RO | Type 9 - Asset management | 2013-02-26 | 2014-03-09 |
| Open Securities Limited 開盤證券有限公司 |
Rep | Type 1 - Dealing in securities | 2013-01-15 | 2013-06-19 |
| Open Securities Limited 開盤證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-01-15 | 2013-02-26 |
| Open Securities Limited 開盤證券有限公司 |
Rep | Type 4 - Advising on securities | 2013-01-15 | 2013-06-19 |
| Open Asset Management Limited 開盤資産管理有限公司 |
Rep | Type 9 - Asset management | 2013-01-15 | 2013-02-26 |
| Phillip Capital Management (HK) Limited 輝立資本管理(香港)有限公司 |
RO | Type 9 - Asset management | 2009-01-06 | 2013-01-01 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2007-05-28 | 2013-01-01 |
| Phillip Capital Management (HK) Limited 輝立資本管理(香港)有限公司 |
Rep | Type 9 - Asset management | 2007-05-28 | 2009-01-06 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2007-05-14 | 2013-01-01 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-05-14 | 2013-01-01 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | 2007-05-14 | 2013-01-01 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2004-05-31 | 2007-03-31 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2004-05-31 | 2007-03-31 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 5 - Advising on futures contracts | 2004-05-31 | 2007-03-31 |
| Polaris Capital (Asia) Limited 寶來資本(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2003-11-06 | 2005-01-26 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2003-09-05 | 2004-05-31 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2003-09-05 | 2004-05-31 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | 2003-09-05 | 2004-05-31 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-06-18 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-06-18 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2003-06-18 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-06-18 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-06-18 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-06-18 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-06-18 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Yat Sun 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.