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CHEN Wenhan

陳文翰
CE APF628Licensed IndividualSFO licence active
Official SFC record

CHEN Wenhan (CE number APF628) is an individual licensed by the Hong Kong SFC. First licensed on 2007-07-10. 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), Type 10 (Credit rating).

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 9 Asset Management
RA 10 Providing Credit Rating Services

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeCitigroup Global Markets Asia Limited
花旗環球金融亞洲有限公司

Licence Record (10)

2022-12-01 – 2026-02-21
Principal Asset Management Company (Asia) Limited Rep
RA 4 RA 9
2022-03-18 – 2022-12-31
Principal Global Investors (Hong Kong) Limited Rep
RA 4 RA 9
2019-10-28 – 2022-02-28
Taiping Assets Management (HK) Company Limited Rep
RA 4 RA 9
2019-05-06 – 2019-07-17
CLSA Limited Rep
RA 1 RA 4
2019-05-06 – 2019-07-17
CITIC Securities (Hong Kong) Limited Rep
RA 4 RA 6
2018-06-05 – 2018-12-28
Moody's Investors Service Hong Kong Limited Rep
RA 10
2013-10-16 – 2018-04-16
Merrill Lynch (Asia Pacific) Limited Rep
RA 1 RA 4
2013-06-24 – 2013-09-16
Jefferies Hong Kong Limited Rep
RA 4
2010-10-08 – 2013-01-30
Credit Suisse (Hong Kong) Limited Rep
RA 4
2007-07-10 – 2010-09-10
CLSA Research Limited Rep
RA 4

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/APF628