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CHAN Wing Gee, Hermia

陳穎芝
CE ARG978Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CHAN Wing Gee, Hermia (CE number ARG978) is an individual licensed by the Hong Kong SFC. First licensed on 2008-08-01. Their SFC licence is currently active. Accredited for regulated activities Type 4 (Advising on securities), Type 5 (Advising on futures), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerBasis Asset Management Limited
格致資產管理有限公司

Licence Record (4)

2023-05-17 – present Current
Basis Asset Management Limited RO
RA 4 RA 9
2021-04-08 – 2023-05-17
Basis Asset Management Limited Rep
RA 4 RA 9
2013-03-08 – 2019-09-20
GAM Hong Kong Limited Rep
RA 9
2008-08-01 – 2013-02-28
AD Capital Management (Hong Kong) Limited Rep
RA 4 RA 5

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/ARG978