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CHAN Wai Tai, Polly

陳偉娣
CE AMM338Licensed IndividualSFO licence active
Official SFC record

CHAN Wai Tai, Polly (CE number AMM338) is an individual licensed by the Hong Kong SFC. First licensed on 2005-09-20. 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).

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
RepresentativeShenwan Hongyuan Capital (H.K.) Limited
申萬宏源融資(香港)有限公司
RepresentativeShenwan Hongyuan Securities (H.K.) Limited
申萬宏源證券(香港)有限公司

Licence Record (4)

2021-11-30 – present Current
Shenwan Hongyuan Capital (H.K.) Limited Rep
RA 1 RA 4 RA 6
2021-11-30 – present Current
Shenwan Hongyuan Securities (H.K.) Limited Rep
RA 1
2005-09-20 – 2017-06-30
FIL Investment Management (Hong Kong) Limited Rep
RA 1 RA 9
2005-09-20 – 2017-06-30
FIL Investment Advisors Rep
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/AMM338