Yi Chen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yi Chen (陳藝), a licensed Responsible Officer with CE reference ANM687. Currently licensed at 2 firm(s): Haitong International Capital Limited, Haitong International Securities Company Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. This person has 15.8 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Haitong International Capital Limited 海通國際資本有限公司 |
RO | Type 6 - Advising on corporate finance | 2021-12-16 | present |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2016-10-11 | present |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
RO | Type 1 - Dealing in securities | 2016-08-22 | present |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2016-04-18 | 2016-08-22 |
| Haitong International Capital Limited 海通國際資本有限公司 |
Rep | Type 6 - Advising on corporate finance | 2016-04-18 | 2021-12-16 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2012-03-05 | 2016-01-07 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2006-06-15 | 2008-04-03 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Yi 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.