Chan, Ricky Kai Ming 陳啟明

Key Data Licences & registrations 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
Grand China Securities Limited	RO	Advising on securities	2025-10-13	-
	RO	Asset management	2025-10-13	-
	RO	Dealing in securities	2025-10-13	-
	Rep	Advising on securities	2025-09-16	2025-10-13
	Rep	Asset management	2025-09-16	2025-10-13
	Rep	Dealing in securities	2025-09-16	2025-10-13
Pantheon Securities Limited	RO	Dealing in securities	2022-05-11	2025-07-31
Fenghua Asset Management Limited	RO	Advising on securities	2019-12-12	2025-06-16
	RO	Asset management	2019-12-12	2025-06-16
OCI Asset Management Company Limited	RO	Advising on securities	2018-05-09	2019-04-05
	RO	Asset management	2018-05-09	2019-04-05
Sinostar Asset Management Limited	RO	Asset management	2017-02-28	2018-02-17
Sinostar Securities Limited	RO	Dealing in securities	2016-11-21	2018-02-17
Sinostar Asset Management Limited	RO	Advising on securities	2016-11-02	2018-02-17
Zynergy Asset Management Limited	RO	Asset management	2013-10-10	2016-06-10
Ark Securities (Hong Kong) Limited	Rep	Advising on securities	2011-10-07	2013-09-14
	Rep	Asset management	2011-10-07	2013-09-14
	Rep	Dealing in securities	2011-10-07	2013-09-14
PROVIDENT FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2011-10-07	2013-09-14
	Rep	Dealing in futures contracts	2011-10-07	2013-09-14
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2008-11-24	2011-10-01
	Rep	Advising on securities	2008-11-24	2011-10-01
	Rep	Asset management	2008-11-24	2011-10-01
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2008-11-24	2011-10-01
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	Rep	Asset management	2008-11-24	2011-10-01
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2008-11-24	2011-10-01
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2007-08-28	2008-04-04
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2007-08-28	2008-04-04
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2007-04-13	2008-04-04
	Rep	Advising on securities	2007-04-13	2008-04-04
	Rep	Asset management	2007-04-13	2008-04-04

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.