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CHAN Dao Chong

陳道庄
CE ABF767Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CHAN Dao Chong (CE number ABF767) 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 8 (Securities margin financing), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (8)

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 8 Securities Margin Financing
RA 9 Asset Management

Roles & Accreditations (3)

CapacityCompany / Institution
Responsible OfficerKarl Thomson Finance Limited
高信財務有限公司
Responsible OfficerKarl-Thomson Securities Company Limited
高信證券有限公司
RepresentativeKarl-Thomson Commodities Company Limited
高信商品期貨有限公司

Licence Record (4)

2018-05-30 – present Current
Karl Thomson Finance Limited RO
RA 8
2018-05-15 – present Current
Karl-Thomson Securities Company Limited RO
RA 1
2003-04-01 – present Current
Karl-Thomson Commodities Company Limited Rep
RA 2 RA 5 RA 9
2003-04-01 – 2018-05-15
Karl-Thomson Securities Company 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/ABF767