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CHAN Ivy

陳亭希
CE AEN139Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CHAN Ivy (CE number AEN139) 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 1 firm.

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 OfficerBaring Asset Management (Asia) Limited
霸菱資產管理(亞洲)有限公司
RepresentativeBaring Asset Management (Asia) Limited
霸菱資產管理(亞洲)有限公司

Licence Record (3)

2015-09-07 – present Current
Baring Asset Management (Asia) Limited RO
RA 1 RA 2 RA 4 RA 5
2007-09-10 – present Current
Baring Asset Management (Asia) Limited Rep
RA 1 RA 4 RA 5 RA 9
2003-04-01 – 2007-09-01
PineBridge Investments Asia Limited Rep
RA 4 RA 6 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/AEN139