Chen, Yuan (SFC:ARA235) 陳縓
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 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in futures contracts | 2008-05-19 | 2008-09-29 |
| 2 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in securities | 2008-05-19 | 2008-09-29 |
| 3 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-10-09 | 2015-08-07 |
| 4 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in securities | 2008-10-09 | 2015-08-07 |
| 5 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2015-09-11 | 2016-10-10 |
| 6 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2015-09-11 | 2021-10-23 |
| 7 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in futures contracts | 2016-10-11 | 2021-10-23 |
| 8 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2022-02-08 | |
| 9 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2022-02-08 |
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