Chan, Siu Chi 陳少芝
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 | BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED | Rep | Advising on securities | 2008-06-02 | 2011-02-16 | Rep | Dealing in securities | 2008-06-02 | 2011-02-16 |
| 2 | Eastspring Investments (Hong Kong) Limited | Rep | Advising on securities | 2016-12-05 | 2017-04-20 | Rep | Dealing in securities | 2016-12-05 | 2017-04-20 | RO | Advising on securities | 2017-04-20 | 2017-06-09 | RO | Dealing in securities | 2017-04-20 | 2017-06-09 |
| 3 | FORTIS INVESTMENT MANAGEMENT HONG KONG LIMITED | Rep | Advising on securities | 2007-05-16 | 2008-08-18 | Rep | Dealing in securities | 2007-05-16 | 2008-08-18 |
| 4 | HENDERSON GLOBAL INVESTORS (HONG KONG) LIMITED | Rep | Advising on securities | 2012-10-09 | 2013-08-06 | Rep | Dealing in securities | 2012-10-09 | 2013-08-06 | RO | Advising on securities | 2013-08-06 | 2016-09-15 | RO | Dealing in securities | 2013-08-06 | 2016-09-15 |
| 5 | INVESCO ASSET MANAGEMENT ASIA LIMITED | Rep | Dealing in securities | 2004-05-24 | 2004-10-05 | RO | Dealing in securities | 2004-10-05 | 2006-09-02 |
| 6 | INVESCO HONG KONG LIMITED | Rep | Advising on securities | 2004-05-24 | 2004-10-05 | Rep | Dealing in securities | 2004-05-24 | 2004-10-05 | RO | Advising on securities | 2004-10-05 | 2006-09-02 | RO | Dealing in securities | 2004-10-05 | 2006-09-02 |
| 7 | Legg Mason Asset Management Hong Kong Limited | Rep | Advising on corporate finance | 2004-05-21 | Rep | Advising on securities | 2004-05-21 | Rep | Asset management | 2004-05-21 |
| 8 | Legg Mason International Equities (Hong Kong) Limited | Rep | Advising on corporate finance | 2004-05-21 | Rep | Advising on securities | 2004-05-21 | Rep | Asset management | 2004-05-21 | Rep | Dealing in securities | 2004-05-21 |
| 9 | Manulife Investment Management (Hong Kong) Limited | Rep | Advising on securities | 2019-01-17 | 2019-03-11 | Rep | Dealing in securities | 2019-01-17 | 2019-03-11 | RO | Advising on securities | 2019-03-11 | 2021-03-14 | RO | Dealing in securities | 2019-03-11 | 2021-03-14 |
| 10 | UBP ASSET MANAGEMENT ASIA LIMITED | Rep | Advising on securities | 2011-03-04 | 2012-09-30 | Rep | Asset management | 2011-03-04 | 2012-09-30 | Rep | Dealing in securities | 2011-03-04 | 2012-09-30 |
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