Chan, Sophia Sok Yin 陳淑妍
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 | CITIC Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2003-12-16 | 2006-03-11 |
| 2 | CITIC Securities Futures (HK) Limited | Rep | Dealing in futures contracts | 2003-12-16 | 2006-03-11 |
| 3 | CSC FINANCIAL SERVICES LIMITED (d2015-11-19) | RO | Dealing in securities | 2008-08-21 | 2009-10-28 |
| 4 | CSC FUTURES (HK) LIMITED | Rep | Dealing in futures contracts | 2008-09-30 | 2009-10-28 |
| 5 | CSC SECURITIES (HK) LIMITED | Rep | Dealing in securities | 2008-07-25 | 2008-08-21 | RO | Dealing in securities | 2008-08-21 | 2009-10-28 |
| 6 | FIRST SHANGHAI FUTURES LIMITED | Rep | Dealing in futures contracts | 2003-11-18 | 2003-11-19 |
| 7 | FIRST SHANGHAI SECURITIES LIMITED | Rep | Dealing in securities | 2003-11-18 | 2003-11-19 |
| 8 | REDFORD SECURITIES LIMITED | RO | Dealing in securities | 2011-10-18 | 2011-12-29 |
| 9 | SHENWAN HONGYUAN ASSET MANAGEMENT (ASIA) LIMITED | Rep | Advising on securities | 2006-07-04 | 2006-11-01 | Rep | Asset management | 2006-07-04 | 2006-11-01 |
| 10 | SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2006-11-24 | 2007-03-13 | RO | Dealing in securities | 2007-03-13 | 2008-07-16 |
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