Chan, Nicholas Wing Kwong 陳永江

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

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