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CHAN Kwok Hay

陳國禧
CE ACA610Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CHAN Kwok Hay (CE number ACA610) is an individual licensed by the Hong Kong SFC. First licensed on 2005-06-07. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerVantum Asset Management Limited
壹號資產管理有限公司
Responsible OfficerVantum Securities and Futures Limited
壹號證券期貨有限公司

Licence Record (21)

2024-04-23 – present Current
Vantum Securities and Futures Limited RO
RA 1 RA 2
2018-03-02 – present Current
Vantum Asset Management Limited RO
RA 4 RA 9
2023-03-27 – 2023-07-31
WRise Prestige Securities Limited RO
RA 1
2023-03-27 – 2023-07-31
WRise Prestige Asset Management Limited RO
RA 4 RA 9
2021-01-20 – 2021-05-20
Zhongtai International Securities Limited Rep
RA 1 RA 4
2021-01-20 – 2021-05-20
Zhongtai International Futures Limited Rep
RA 2
2018-10-11 – 2020-10-06
Quam Securities Limited RO
RA 1 RA 2 RA 4 RA 9
2018-05-30 – 2018-10-11
Quam Securities Limited Rep
RA 1 RA 2 RA 4 RA 9
2018-03-02 – 2018-04-25
SBI E2-Capital Securities Limited RO
RA 1 RA 2
2017-08-09 – 2018-03-02
SBI E2-Capital Securities Limited Rep
RA 1 RA 2
2015-05-18 – 2016-07-13
Caitong International Securities Co., Limited RO
RA 1
2012-12-07 – 2015-04-17
Zhongtai International Futures Limited RO
RA 2
2012-11-13 – 2015-04-17
Zhongtai International Securities Limited RO
RA 1
2011-04-01 – 2012-04-25
LT Securities Limited RO
RA 1 RA 2
2009-09-15 – 2011-01-01
ICBC International Futures Limited Rep
RA 2
2009-08-18 – 2011-01-01
ICBC International Securities Limited Rep
RA 1
2009-02-19 – 2009-08-10
Masterlink Securities (Hong Kong) Corporation Limited Rep
RA 1
2008-03-18 – 2008-08-01
Beevest Securities Limited Rep
RA 1 RA 2
2007-01-02 – 2007-10-08
South China Securities Limited Rep
RA 1
2007-01-02 – 2007-10-08
South China Commodities Limited Rep
RA 2
2005-06-07 – 2006-05-19
Splendor Global Investments Limited RO
RA 4

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/ACA610