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CHAN Kwok Yan

陳國仁
CE AAF506Licensed IndividualSFO licence active
Official SFC record

CHAN Kwok Yan (CE number AAF506) 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 9 (Asset management).

Regulated Activities (on record) (6)

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 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeSinoPac Securities (Asia) Limited
永豐金證券(亞洲)有限公司

Licence Record (5)

2017-02-13 – present Current
SinoPac Securities (Asia) Limited Rep
RA 1 RA 2
2003-08-25 – 2017-02-12
Tung Shing Securities (Brokers) Limited Rep
RA 1
2003-08-25 – 2017-02-12
Tung Shing Futures (Brokers) Limited Rep
RA 2
2003-04-01 – 2003-08-23
Honour Securities Company Limited RO
RA 1 RA 4 RA 6 RA 9
2003-04-01 – 2003-08-23
Honour Futures Limited RO
RA 2 RA 5 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/AAF506