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 Kwok Fung, Dennis

陳國峰
CE AMK236Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CHAN Kwok Fung, Dennis (CE number AMK236) is an individual licensed by the Hong Kong SFC. First licensed on 2005-10-12. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance). Currently a responsible officer at 3 firms.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (3)

CapacityCompany / Institution
Responsible OfficerCarlyon Asset Management Limited
格理昂資產管理有限公司
Responsible OfficerCarlyon Capital Limited
格理昂資本有限公司
Responsible OfficerCarlyon Securities Limited
格理昂證券有限公司

Licence Record (10)

2025-08-08 – present Current
Carlyon Securities Limited RO
RA 1
2025-08-08 – present Current
Carlyon Asset Management Limited RO
RA 4
2025-08-08 – present Current
Carlyon Capital Limited RO
RA 6
2022-08-01 – 2025-02-12
Lego Securities Limited RO
RA 1
2022-08-01 – 2025-02-12
Lego Corporate Finance Limited RO
RA 6
2022-05-25 – 2022-08-01
Lego Securities Limited Rep
RA 1
2022-05-25 – 2022-08-01
Lego Corporate Finance Limited Rep
RA 6
2020-11-16 – 2022-04-08
SMBC Nikko Securities (Hong Kong) Limited RO
RA 1 RA 4 RA 6
2014-01-14 – 2020-11-16
SMBC Nikko Securities (Hong Kong) Limited Rep
RA 1 RA 4 RA 6
2005-10-12 – 2009-03-01
Deloitte & Touche Corporate Finance Limited Rep
RA 6

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/AMK236