Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

CHAN Yi Sum

陳鐿心
CE AAD405Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CHAN Yi Sum (CE number AAD405) 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 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 6 (Corporate finance), Type 7 (Automated trading), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (7)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 6 Advising on Corporate Finance
RA 7 Providing Automated Trading Services
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerCentral Wealth Securities Investment Limited
中達證券投資有限公司
RepresentativeCentral Wealth Asset Management Limited
中達資產管理有限公司

Licence Record (14)

2021-03-12 – present Current
Central Wealth Asset Management Limited Rep
RA 9
2017-10-03 – present Current
Central Wealth Securities Investment Limited RO
RA 1 RA 4
2017-10-03 – 2023-04-03
Central Wealth Futures Limited RO
RA 2 RA 5
2017-08-14 – 2017-10-03
Central Wealth Securities Investment Limited Rep
RA 1
2017-08-14 – 2017-10-03
Central Wealth Futures Limited Rep
RA 2
2012-09-25 – 2017-06-09
CMBC Securities Company Limited RO
RA 1
2012-09-25 – 2017-06-09
CMBC International Futures Company Limited RO
RA 2
2010-01-20 – 2012-07-31
Oriental Wealth Securities Limited RO
RA 1
2009-06-18 – 2012-07-31
Oriental Wealth Futures Limited RO
RA 2
2009-04-21 – 2010-01-20
Oriental Wealth Securities Limited Rep
RA 1
2007-08-16 – 2009-04-09
One China Securities Limited Rep
RA 1 RA 2
2005-05-19 – 2007-07-27
XinKong International Securities Limited Rep
RA 1 RA 2
2003-07-30 – 2005-05-04
Mango Financial Limited Rep
RA 1 RA 4
2003-04-01 – 2003-05-26
China Merchants Securities (HK) Co., Limited Rep
RA 1 RA 4 RA 6 RA 7 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/AAD405