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CHOI Shing Yan

蔡承恩
CE AUM819Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CHOI Shing Yan (CE number AUM819) is an individual licensed by the Hong Kong SFC. First licensed on 2010-02-17. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerGuosen Securities (HK) Brokerage Company, Limited
國信證券(香港)經紀有限公司

Licence Record (11)

2024-08-19 – present Current
Guosen Securities (HK) Brokerage Company, Limited RO
RA 1 RA 2 RA 4
2022-02-24 – 2022-05-13
AA Investment Management Limited Rep
RA 1
2017-11-15 – 2021-08-22
Zhongtai International Securities Limited RO
RA 1 RA 4
2017-11-15 – 2021-08-22
Zhongtai International Futures Limited RO
RA 2
2017-06-27 – 2017-11-15
Zhongtai International Securities Limited Rep
RA 1
2017-06-27 – 2017-11-15
Zhongtai International Futures Limited Rep
RA 2
2016-08-08 – 2017-06-20
Chuenman Securities Limited RO
RA 1
2014-05-20 – 2016-07-25
Orient Securities (Hong Kong) Limited Rep
RA 1
2014-05-20 – 2016-07-25
Orient Futures (Hong Kong) Limited Rep
RA 2
2014-03-05 – 2014-04-22
Gransing Securities Co., Limited Rep
RA 1
2010-02-17 – 2014-02-12
Cathay Securities (Hong Kong) Limited Rep
RA 1

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/AUM819