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KWAN Yi Fan, David

CE BAJ162Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

KWAN Yi Fan, David (CE number BAJ162) is an individual licensed by the Hong Kong SFC. First licensed on 2012-10-26. 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 OfficerAEM Asset Management Limited
明德企業資產管理有限公司

Licence Record (4)

2018-03-26 – present Current
AEM Asset Management Limited RO
RA 9
2021-03-03 – 2023-05-31
Maxa Asset Management Limited RO
RA 9
2014-08-05 – 2017-04-03
GF Asset Management (Hong Kong) Limited Rep
RA 9
2012-10-26 – 2013-05-02
BEA Union Investment Management Limited Rep
RA 1 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/BAJ162