Shu Ming Chan
陳樹明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shu Ming Chan (陳樹明), a licensed former licensee with CE reference ACB546. This person has 12.1 years of SFC licence history. Total licence records on file: 19.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2015-05-16 |
| HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2015-05-16 |
| HSBC Broking (China) Limited 滙豐金融(中國)有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2012-08-14 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2015-05-16 |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2015-05-16 |
| HSBC Broking (China) Limited 滙豐金融(中國)有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-08-04 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-08-04 |
| HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-08-04 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2004-08-04 |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2004-08-04 |
| HSBC Broking (China) Limited 滙豐金融(中國)有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-08-04 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-08-04 |
| HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-08-04 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-09-02 |
| HSBC Broking (China) Limited 滙豐金融(中國)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-08-04 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-08-04 |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-08-04 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-08-04 |
| HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-08-04 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Shu Ming 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.