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

CHEN Miao-Ju

陳妙如
CE ALJ946Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CHEN Miao-Ju (CE number ALJ946) is an individual licensed by the Hong Kong SFC. First licensed on 2006-08-09. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerYuanta Asia Investment (Hong Kong) Limited
元大亞洲投資(香港)有限公司
Responsible OfficerYuanta Securities (Hong Kong) Company Limited
元大證券(香港)有限公司

Licence Record (3)

2016-03-16 – present Current
Yuanta Asia Investment (Hong Kong) Limited RO
RA 1 RA 9
2015-07-14 – present Current
Yuanta Securities (Hong Kong) Company Limited RO
RA 1 RA 4 RA 6 RA 9
2006-08-09 – 2015-03-31
Rich Union Securities (H.K.) Limited RO
RA 1 RA 4 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/ALJ946