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 Kar Lok

陳家樂
CE ABE379Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CHAN Kar Lok (CE number ABE379) 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). Currently a responsible officer at 2 firms.

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 (2)

CapacityCompany / Institution
Responsible OfficerSDIC Securities (Hong Kong) Limited
國投證券（香港）有限公司
Responsible OfficerSDIC Securities Futures (Hong Kong) Limited
國投證券期貨（香港）有限公司

Licence Record (15)

2012-08-01 – present Current
SDIC Securities (Hong Kong) Limited RO
RA 1 RA 4
2012-08-01 – present Current
SDIC Securities Futures (Hong Kong) Limited RO
RA 2
2012-06-19 – 2013-01-24
SDIC Securities (Hong Kong) Limited Rep
RA 1 RA 4
2012-06-19 – 2012-08-01
SDIC Securities Futures (Hong Kong) Limited Rep
RA 2
2010-05-20 – 2012-06-08
Haitong International Securities Company Limited Rep
RA 4
2010-05-20 – 2012-06-08
Haitong International Securities Company Limited RO
RA 1
2010-05-20 – 2012-06-08
Haitong International Futures Limited RO
RA 2
2009-01-16 – 2011-05-03
Hai Tong Securities (HK) Brokerage Limited RO
RA 1 RA 2
2008-10-09 – 2011-01-07
Hai Tong Securities (HK) Brokerage Limited Rep
RA 1 RA 2 RA 4
2006-01-09 – 2008-09-30
China Merchants Securities (HK) Co., Limited Rep
RA 1 RA 4
2006-01-09 – 2008-09-30
China Merchants Futures (HK) Co., Limited Rep
RA 2
2004-12-13 – 2005-12-30
UOB Kay Hian (Hong Kong) Limited Rep
RA 1
2004-12-13 – 2005-12-30
UOB Kay Hian Futures (Hong Kong) Limited Rep
RA 2
2003-04-01 – 2004-12-11
BNP Paribas Securities (Asia) Limited Rep
RA 1 RA 4 RA 6 RA 9
2003-04-01 – 2004-12-11
BNP Paribas Peregrine Futures Limited Rep
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/ABE379