Ying Chen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ying Chen (陳瑩), a licensed Responsible Officer with CE reference AYR997. Currently licensed at 1 firm(s): CMB International Capital Limited. Active regulated activities: Type 1 - Dealing in securities; Type 6 - Advising on corporate finance. This person has 13.9 years of SFC licence history. Total licence records on file: 11.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CMB International Capital Limited 招銀國際融資有限公司 |
RO | Type 1 - Dealing in securities | 2020-11-16 | present |
| CMB International Capital Limited 招銀國際融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2020-11-16 | present |
| CMB International Capital Limited 招銀國際融資有限公司 |
Rep | Type 1 - Dealing in securities | 2019-06-17 | 2020-11-16 |
| CMB International Capital Limited 招銀國際融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2019-06-17 | 2020-11-16 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 4 - Advising on securities | 2017-12-13 | 2019-04-12 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 1 - Dealing in securities | 2017-01-04 | 2019-04-12 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 6 - Advising on corporate finance | 2017-01-04 | 2019-04-12 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2014-01-24 | 2016-11-25 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 - Dealing in securities | 2012-01-13 | 2013-10-04 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 - Advising on securities | 2012-01-13 | 2013-10-04 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 - Advising on corporate finance | 2012-01-13 | 2013-10-04 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ying 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.