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CHAN Wong Kam, Alice

陳旺金
CE AAB559Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CHAN Wong Kam, Alice (CE number AAB559) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 7 (Automated trading), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 7 Providing Automated Trading Services
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerPrudential Brokerage Limited
信誠證券有限公司

Licence Record (2)

2003-04-01 – present Current
Prudential Brokerage Limited RO
RA 1 RA 4 RA 6 RA 7 RA 9
2003-04-01 – 2016-10-27
Tian Yuan Finance Limited RO
RA 1 RA 4 RA 6 RA 9

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AAB559