Chan, Lap Chung (SFC:AIJ099) 陳立中
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | 313 Capital Management Limited | Rep | Advising on securities | 2016-10-12 | 2017-01-04 | Rep | Asset management | 2016-10-12 | 2017-01-04 |
| 2 | Absolute Investment Management (HK) Limited | Rep | Asset management | 2005-09-30 | 2007-09-27 |
| 3 | CL Strategic Management Limited | RO | Advising on securities | 2022-08-12 | RO | Asset management | 2022-08-12 |
| 4 | DESCARTES GLOBAL ASSET MANAGEMENT LIMITED | Rep | Asset management | 2004-10-27 | 2005-06-02 |
| 5 | FDB Financial Group Limited | Rep | Asset management | 2021-12-06 | 2022-08-07 | Rep | Advising on securities | 2021-12-17 | 2022-08-07 |
| 6 | Forwin Capital Management Limited | Rep | Advising on securities | 2018-05-02 | 2018-05-23 | Rep | Asset management | 2018-05-02 | 2018-05-23 | RO | Advising on securities | 2018-05-23 | 2019-02-17 | RO | Asset management | 2018-05-23 | 2019-02-17 |
| 7 | Forwin Futures Group Limited | RO | Dealing in futures contracts | 2018-10-10 | 2019-02-17 |
| 8 | Forwin Securities Group Limited | Rep | Dealing in securities | 2018-05-02 | 2018-05-23 | RO | Dealing in securities | 2018-05-23 | 2019-02-17 |
| 9 | Gold Mountains Asset Management Limited | RO | Advising on securities | 2013-08-28 | 2015-04-02 | RO | Asset management | 2013-08-28 | 2015-04-02 |
| 10 | HGNH International Futures Co., Limited | Rep | Dealing in futures contracts | 2011-06-13 | 2011-07-23 |
| 11 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2003-09-25 | Rep | Advising on futures contracts | 2003-09-25 | Rep | Advising on securities | 2003-09-25 | Rep | Asset management | 2003-09-25 |
| 12 | PING AN OF CHINA SECURITIES (HONG KONG) COMPANY LIMITED | Rep | Advising on securities | 2011-08-12 | 2011-09-07 | Rep | Dealing in securities | 2011-08-12 | 2011-09-07 | RO | Advising on securities | 2011-09-07 | 2013-07-08 | RO | Dealing in securities | 2011-09-07 | 2013-07-08 | RO | Asset management | 2012-08-01 | 2013-07-08 |
| 13 | Richland Asset Management (HK) Limited | RO | Asset management | 2020-07-31 | 2021-09-30 |
| 14 | South China Investment Management Limited | RO | Asset management | 2017-03-20 | 2018-01-15 |
| 15 | SOUTH CHINA RESEARCH LIMITED | Rep | Advising on securities | 2017-01-04 | 2017-03-20 | RO | Advising on securities | 2017-03-20 | 2018-01-15 |
| 16 | SOUTH CHINA SECURITIES LIMITED | Rep | Dealing in securities | 2017-01-04 | 2017-03-20 | RO | Dealing in securities | 2017-03-20 | 2018-01-15 |
| 17 | SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | RO | Asset management | 2008-12-18 | 2011-04-07 | Rep | Advising on securities | 2010-11-09 | 2011-04-07 |
| 18 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2010-11-09 | 2011-04-07 |
| 19 | SPDB International Holdings Limited | Rep | Advising on securities | 2015-04-09 | 2015-05-15 | Rep | Asset management | 2015-04-09 | 2015-05-15 | RO | Advising on securities | 2015-05-15 | 2015-10-27 | RO | Asset management | 2015-05-15 | 2015-10-27 |
| 20 | SPDB International Investment Management Limited | RO | Advising on securities | 2015-10-13 | 2016-08-31 | RO | Asset management | 2015-10-13 | 2016-08-31 |
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