Chan, Nicholas Wing Kwong 陳永江
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 | 2004-10-14 | Rep | Advising on securities | 2004-10-14 | Rep | Asset management | 2004-10-14 | Rep | Dealing in securities | 2006-01-25 |
| 2 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2006-05-24 | 2013-08-01 | Rep | Asset management | 2011-07-27 | 2013-08-01 |
| 3 | Morgan Stanley Hong Kong Futures Limited | Rep | Dealing in futures contracts | 2010-07-09 | 2010-12-06 |
| 4 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in futures contracts | 2010-12-06 | 2013-08-01 |
| 5 | RBC INVESTMENT SERVICES (ASIA) LIMITED | Rep | Advising on futures contracts | 2022-01-24 | 2022-11-24 | Rep | Advising on securities | 2022-01-24 | 2022-11-24 | Rep | Dealing in futures contracts | 2022-01-24 | 2022-11-24 | Rep | Dealing in securities | 2022-01-24 | 2022-11-24 |
| 6 | ROCKPOOL CAPITAL LIMITED | Rep | Advising on securities | 2023-09-22 | Rep | Asset management | 2023-09-22 | Rep | Dealing in securities | 2023-09-22 |
| 7 | StormHarbour Securities (Hong Kong) Limited | Rep | Advising on securities | 2020-03-09 | 2021-10-17 | Rep | Asset management | 2020-03-09 | 2021-10-17 | Rep | Dealing in securities | 2020-03-09 | 2021-10-17 |
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