Chan, Ka Chun (SFC:ABG469) 陳家俊

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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 GOLDMAN SACHS (ASIA) L.L.C. Rep Advising on corporate finance 2004-06-09
2 GOLDMAN SACHS (ASIA) L.L.C. Rep Advising on securities 2004-06-09
3 GOLDMAN SACHS (ASIA) L.L.C. Rep Asset management 2004-06-09
4 GOLDMAN SACHS (ASIA) L.L.C. Rep Dealing in securities 2011-03-30
5 GOLDMAN SACHS FUTURES (ASIA) LIMITED Rep Dealing in futures contracts 2004-07-20 2011-03-30
6 GOLDMAN SACHS (ASIA) L.L.C. Rep Automated trading services 2009-02-20 2011-03-30
7 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED Rep Dealing in securities 2011-06-24
8 CICC US Securities (Hong Kong) Limited Rep Dealing in securities 2011-06-24 2011-07-26
9 CICC US Securities, Inc. Rep Dealing in securities 2011-06-24 2011-07-26
10 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED Rep Dealing in futures contracts 2011-06-24 2011-10-03
11 CICC US Securities (Hong Kong) Limited RO Dealing in securities 2011-07-26
12 CICC US Securities, Inc. RO Dealing in securities 2011-07-26 2011-10-31
13 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED RO Advising on futures contracts 2011-10-03
14 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED RO Dealing in futures contracts 2011-10-03
15 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED RO Advising on futures contracts 2012-08-28
16 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED RO Dealing in futures contracts 2012-08-28
17 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED Rep Advising on securities 2016-04-19
18 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED Rep Asset management 2023-04-28

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