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CHEN Yi-yin

陳怡吟
CE AXB314Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CHEN Yi-yin (CE number AXB314) is an individual licensed by the Hong Kong SFC. First licensed on 2011-03-25. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerGuotai Junan Securities (Hong Kong) Limited
國泰君安證券(香港)有限公司
RepresentativeGuotai Junan Capital Limited
國泰君安融資有限公司

Licence Record (4)

2022-06-09 – present Current
Guotai Junan Capital Limited Rep
RA 6
2020-07-15 – present Current
Guotai Junan Securities (Hong Kong) Limited RO
RA 1 RA 4
2012-07-10 – 2020-07-15
Guotai Junan Securities (Hong Kong) Limited Rep
RA 1 RA 4
2011-03-25 – 2012-06-24
SinoPac Securities (Asia) Limited Rep
RA 1 RA 6

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/AXB314