Kwan, Chung Yan 關頌恩

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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 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED Rep Dealing in futures contracts 2010-09-08 2016-09-03
2 BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED Rep Dealing in securities 2010-09-08 2016-09-03
3 CCB INTERNATIONAL ASSET MANAGEMENT LIMITED Rep Asset management 2005-11-30 2006-09-29
4 CITIC Securities Brokerage (HK) Limited Rep Dealing in securities 2004-05-25 2005-03-30
5 CITIC Securities Futures (HK) Limited Rep Dealing in futures contracts 2004-05-25 2005-03-30
6 CMB International Capital Holdings Corporation Limited Rep Dealing in securities 2006-10-27 2008-05-16
7 KGI ASIA LIMITED Rep Dealing in securities 2009-06-17 2010-08-13
8 KGI FUTURES (HONG KONG) LIMITED Rep Dealing in futures contracts 2009-06-17 2010-08-13
9 MIB FUTURES (HONG KONG) LIMITED Rep Dealing in futures contracts 2008-06-12 2009-06-13
10 MIB SECURITIES (HONG KONG) LIMITED Rep Dealing in securities 2008-05-28 2009-06-13
11 Modern Innovative Asset Management Limited Rep Asset management 2017-08-09 2020-02-07
RO Asset management 2020-02-07
RO Advising on securities 2021-02-10
12 Modern Innovative Securities Limited Rep Dealing in securities 2016-09-07 2016-10-20
RO Dealing in securities 2016-10-20
RO Dealing in futures contracts 2017-04-06
13 PHILLIP COMMODITIES (H.K.) LIMITED Rep Automated trading services 2003-08-15
Rep Asset management 2003-12-09
Rep Advising on futures contracts 2004-05-03
Rep Dealing in futures contracts 2004-05-14
14 PHILLIP SECURITIES (HONG KONG) LIMITED Rep Advising on corporate finance 2004-05-03
Rep Advising on securities 2004-05-03
Rep Asset management 2004-05-03
Rep Dealing in securities 2004-05-14

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