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KWAN Chit Man, Osvaldo

關捷文
CE BAI043Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

KWAN Chit Man, Osvaldo (CE number BAI043) is an individual licensed by the Hong Kong SFC. First licensed on 2012-10-18. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerDWS Investments Hong Kong Limited
德意志投資香港有限公司

Licence Record (3)

2023-06-13 – present Current
DWS Investments Hong Kong Limited RO
RA 1 RA 4 RA 9
2015-12-08 – 2023-06-13
DWS Investments Hong Kong Limited Rep
RA 1 RA 4 RA 9
2012-10-18 – 2015-05-19
LIM Advisors 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/BAI043