Chan, Yi Sum 陳鐿心

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
CENTRAL WEALTH ASSET MANAGEMENT LIMITED	Rep	Asset management	2021-03-12	-
CENTRAL WEALTH FUTURES LIMITED	RO	Advising on futures contracts	2019-12-10	2023-04-03
CENTRAL WEALTH SECURITIES INVESTMENT LIMITED	RO	Advising on securities	2019-12-10	-
CENTRAL WEALTH FUTURES LIMITED	RO	Dealing in futures contracts	2017-10-03	2023-04-03
CENTRAL WEALTH SECURITIES INVESTMENT LIMITED	RO	Dealing in securities	2017-10-03	-
CENTRAL WEALTH FUTURES LIMITED	Rep	Dealing in futures contracts	2017-08-14	2017-10-03
CENTRAL WEALTH SECURITIES INVESTMENT LIMITED	Rep	Dealing in securities	2017-08-14	2017-10-03
CMBC INTERNATIONAL FUTURES COMPANY LIMITED	RO	Dealing in futures contracts	2012-09-25	2017-06-09
CMBC SECURITIES COMPANY LIMITED	RO	Dealing in securities	2012-09-25	2017-06-09
ORIENTAL WEALTH SECURITIES LIMITED	RO	Dealing in securities	2010-01-20	2012-07-31
ORIENTAL WEALTH FUTURES LIMITED	RO	Dealing in futures contracts	2009-06-18	2012-07-31
ORIENTAL WEALTH SECURITIES LIMITED	Rep	Dealing in securities	2009-04-21	2010-01-20
ONE CHINA SECURITIES LIMITED	Rep	Dealing in futures contracts	2007-08-16	2009-04-09
	Rep	Dealing in securities	2007-08-16	2009-04-09
XinKong International Securities Limited	Rep	Dealing in futures contracts	2005-05-20	2007-07-27
	Rep	Dealing in securities	2005-05-19	2007-07-27
MANGO FINANCIAL LIMITED	Rep	Advising on securities	2003-07-30	2005-05-04
	Rep	Dealing in securities	2003-07-30	2005-05-04
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-05-26
	Rep	Advising on securities	2003-04-01	2003-05-26
	Rep	Asset management	2003-04-01	2003-05-26
	Rep	Providing automated trading services	2003-04-01	2003-05-26
	Rep	Dealing in securities	2003-04-01	2003-05-26

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.