Miao-Ju Chen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Miao-Ju Chen (陳妙如), a licensed Responsible Officer with CE reference ALJ946. Currently licensed at 2 firm(s): Yuanta Asia Investment (Hong Kong) Limited, Yuanta Securities (Hong Kong) Company 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 16.9 years of SFC licence history. Total licence records on file: 12.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2020-02-14 | present |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2017-12-27 | present |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 9 - Asset management | 2016-03-16 | present |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2015-07-14 | present |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2015-07-14 | present |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 9 - Asset management | 2015-07-14 | present |
| Rich Union Securities (H.K.) Limited 瑞元證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2013-03-22 | 2015-03-31 |
| Rich Union Securities (H.K.) Limited 瑞元證券(香港)有限公司 |
RO | Type 9 - Asset management | 2013-03-22 | 2015-03-31 |
| Rich Union Securities (H.K.) Limited 瑞元證券(香港)有限公司 |
RO | Type 9 - Asset management | 2008-03-06 | 2010-05-25 |
| Rich Union Securities (H.K.) Limited 瑞元證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2006-08-09 | 2010-02-25 |
| Rich Union Securities (H.K.) Limited 瑞元證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2006-08-09 | 2010-02-25 |
| Rich Union Securities (H.K.) Limited 瑞元證券(香港)有限公司 |
RO | Type 9 - Asset management | 2006-08-09 | 2007-02-09 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Miao-Ju 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.