Chen, Richard Chi-sheng 陳其盛

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	RO	Advising on corporate finance	2018-05-28	2018-10-01
CORE PACIFIC-YAMAICHI CAPITAL LIMITED	RO	Advising on corporate finance	2018-05-28	2018-10-01
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	RO	Dealing in futures contracts	2018-02-21	2018-10-01
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	RO	Advising on securities	2016-07-01	2018-10-01
	RO	Dealing in securities	2016-07-01	2018-10-01
Core Pacific - Yamaichi Asset Management Limited	RO	Asset management	2013-12-17	2018-10-01
CORE PACIFIC-YAMAICHI CAPITAL LIMITED	RO	Dealing in securities	2013-05-13	2018-10-01
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	RO	Advising on securities	2012-03-19	2016-06-30
	RO	Dealing in securities	2012-03-19	2016-06-30
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	RO	Dealing in securities	2012-03-19	2016-06-30
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Advising on securities	2012-03-01	2012-03-19
	Rep	Dealing in securities	2012-03-01	2012-03-19
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2012-03-01	2012-03-19
FB SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2009-12-24	2011-12-31
	RO	Asset management	2009-12-24	2011-12-31
	RO	Dealing in securities	2009-12-24	2011-12-31
Fubon Fund Management (Hong Kong) Limited	RO	Advising on securities	2007-10-25	2011-12-31
	RO	Asset management	2007-10-25	2011-12-31
	RO	Dealing in securities	2007-10-25	2011-12-31
	Rep	Advising on securities	2007-08-10	2007-10-25
	Rep	Asset management	2007-08-10	2007-10-25
	Rep	Dealing in securities	2007-08-10	2007-10-25

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	RO	Advising on corporate finance	2018-05-28	2018-10-01
CORE PACIFIC-YAMAICHI CAPITAL LIMITED	RO	Advising on corporate finance	2018-05-28	2018-10-01
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	RO	Dealing in futures contracts	2018-02-21	2018-10-01
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	RO	Advising on securities	2016-07-01	2018-10-01
	RO	Dealing in securities	2016-07-01	2018-10-01
Core Pacific - Yamaichi Asset Management Limited	RO	Asset management	2013-12-17	2018-10-01
CORE PACIFIC-YAMAICHI CAPITAL LIMITED	RO	Dealing in securities	2013-05-13	2018-10-01
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	RO	Advising on securities	2012-03-19	2016-06-30
	RO	Dealing in securities	2012-03-19	2016-06-30
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	RO	Dealing in securities	2012-03-19	2016-06-30
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Advising on securities	2012-03-01	2012-03-19
	Rep	Dealing in securities	2012-03-01	2012-03-19
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2012-03-01	2012-03-19
FB SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2009-12-24	2011-12-31
	RO	Asset management	2009-12-24	2011-12-31
	RO	Dealing in securities	2009-12-24	2011-12-31
Fubon Fund Management (Hong Kong) Limited	RO	Advising on securities	2007-10-25	2011-12-31
	RO	Asset management	2007-10-25	2011-12-31
	RO	Dealing in securities	2007-10-25	2011-12-31
	Rep	Advising on securities	2007-08-10	2007-10-25
	Rep	Asset management	2007-08-10	2007-10-25
	Rep	Dealing in securities	2007-08-10	2007-10-25