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CHAN Ka Fai, Stephen

陳家輝
CE AOS673Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CHAN Ka Fai, Stephen (CE number AOS673) is an individual licensed by the Hong Kong SFC. First licensed on 2007-05-31. 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 9 (Asset management). Currently a responsible officer at 3 firms.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 9 Asset Management

Roles & Accreditations (3)

CapacityCompany / Institution
Responsible OfficerRifa Asset Management Limited
日發資產管理有限公司
Responsible OfficerRifa Futures Limited
日發期貨有限公司
Responsible OfficerRifa Securities Limited
日發證券有限公司

Licence Record (14)

2017-10-27 – present Current
Rifa Asset Management Limited RO
RA 4 RA 5 RA 9
2017-05-12 – present Current
Rifa Futures Limited RO
RA 2
2014-04-08 – present Current
Rifa Securities Limited RO
RA 1
2014-04-08 – 2016-06-30
TFI Asset Management Limited RO
RA 4 RA 9
2014-02-12 – 2017-02-13
Rifa Securities Limited Rep
RA 1
2014-02-12 – 2017-05-12
Rifa Futures Limited Rep
RA 2
2014-02-12 – 2016-06-30
TFI Asset Management Limited Rep
RA 4 RA 5
2013-01-04 – 2014-01-27
XinKong International Securities Limited RO
RA 1 RA 4
2013-01-04 – 2014-01-27
XinKong International Asset Management Limited RO
RA 9
2012-01-12 – 2013-01-01
Soochow Securities International Brokerage Limited RO
RA 1 RA 4
2012-01-12 – 2013-01-01
Soochow Securities International Asset Management Limited RO
RA 4 RA 9
2010-06-28 – 2011-05-31
Qi Yuan Asset Management (H.K.) Limited RO
RA 4 RA 9
2007-08-13 – 2008-12-18
MFG Limited RO
RA 1 RA 4 RA 9
2007-05-31 – 2007-08-13
MFG Limited 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/AOS673