Dennis Kwok Fung Chan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dennis Kwok Fung Chan (陳國峰), a licensed Responsible Officer with CE reference AMK236. Currently licensed at 3 firm(s): Carlyon Securities Limited, Carlyon Asset Management Limited, Carlyon Capital Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. This person has 15.4 years of SFC licence history. Total licence records on file: 14.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Carlyon Securities Limited 格理昂證券有限公司 |
RO | Type 1 - Dealing in securities | 2025-08-08 | present |
| Carlyon Asset Management Limited 格理昂資產管理有限公司 |
RO | Type 4 - Advising on securities | 2025-08-08 | present |
| Carlyon Capital Limited 格理昂資本有限公司 |
RO | Type 6 - Advising on corporate finance | 2025-08-08 | present |
| Lego Securities Limited 力高證券有限公司 |
RO | Type 1 - Dealing in securities | 2022-08-01 | 2025-02-12 |
| Lego Corporate Finance Limited 力高企業融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2022-08-01 | 2025-02-12 |
| Lego Securities Limited 力高證券有限公司 |
Rep | Type 1 - Dealing in securities | 2022-05-25 | 2022-08-01 |
| Lego Corporate Finance Limited 力高企業融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2022-05-25 | 2022-08-01 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2020-11-16 | 2022-04-08 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2020-11-16 | 2022-04-08 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2020-11-16 | 2022-04-08 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-01-14 | 2020-11-16 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2014-01-14 | 2020-11-16 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2014-01-14 | 2020-11-16 |
| Deloitte & Touche Corporate Finance Limited 德勤企業財務顧問有限公司 |
Rep | Type 6 - Advising on corporate finance | 2005-10-12 | 2009-03-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Dennis Kwok Fung 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.