Chan, Siu Wai (SFC:AUB313) 陳少威
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2014-01-22 | 2015-08-03 |
| 2 | IBTS ASIA (HK) LIMITED | Rep | Advising on securities | 2009-12-02 | 2011-01-01 | Rep | Dealing in securities | 2009-12-02 | 2011-01-01 |
| 3 | ROCK HILL ASSET MANAGEMENT LIMITED | RO | Advising on securities | 2017-06-21 | RO | Asset management | 2017-06-21 |
| 4 | SINOPAC ASSET MANAGEMENT (ASIA) LIMITED | Rep | Advising on securities | 2015-11-10 | 2017-06-02 | Rep | Asset management | 2015-11-10 | 2017-06-02 | Rep | Dealing in securities | 2015-11-10 | 2017-06-02 |
| 5 | Yuanta Asia Investment (Hong Kong) Limited | Rep | Asset management | 2011-01-27 | 2012-08-06 |
| 6 | Yuanta Securities (Hong Kong) Company Limited | Rep | Asset management | 2012-06-14 | 2012-08-06 |
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