Chen, Yat Sun 陳一新 Hong Kong SFC License Details (ID 91479)

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
HS Securities Limited	RO	Advising on securities	2019-06-28	2020-10-31
	RO	Asset management	2019-06-28	2020-10-31
	RO	Dealing in securities	2018-05-14	2020-10-31
THE CORE SECURITIES COMPANY LIMITED	RO	Asset management	2015-06-02	2017-04-26
	RO	Advising on securities	2014-09-22	2017-04-26
	RO	Dealing in securities	2014-09-22	2017-04-26
OPEN ASSET MANAGEMENT LIMITED	RO	Advising on securities	2013-06-19	2014-03-09
Open Securities Limited	RO	Advising on securities	2013-06-19	2014-03-09
	RO	Dealing in securities	2013-06-19	2014-03-09
OPEN ASSET MANAGEMENT LIMITED	RO	Asset management	2013-02-26	2014-03-09
Open Securities Limited	RO	Dealing in futures contracts	2013-02-26	2014-03-09
OPEN ASSET MANAGEMENT LIMITED	Rep	Asset management	2013-01-15	2013-02-26
Open Securities Limited	Rep	Dealing in futures contracts	2013-01-15	2013-02-26
	Rep	Advising on securities	2013-01-15	2013-06-19
	Rep	Dealing in securities	2013-01-15	2013-06-19
PHILLIP CAPITAL MANAGEMENT (HK) LIMITED	RO	Asset management	2009-01-06	2013-01-01
	Rep	Asset management	2007-05-28	2009-01-06
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2007-05-28	2013-01-01
PHILLIP COMMODITIES (HK) LIMITED	Rep	Advising on futures contracts	2007-05-14	2013-01-01
	Rep	Dealing in futures contracts	2007-05-14	2013-01-01
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2007-05-14	2013-01-01
Yuanta Asia Investment (Hong Kong) Limited	RO	Advising on futures contracts	2004-05-31	2007-03-31
	RO	Dealing in futures contracts	2004-05-31	2007-03-31
	RO	Dealing in securities	2004-05-31	2007-03-31
Polaris Capital (Asia) Limited	Rep	Dealing in securities	2003-11-06	2005-01-26
Yuanta Asia Investment (Hong Kong) Limited	Rep	Advising on futures contracts	2003-09-05	2004-05-31
	Rep	Dealing in futures contracts	2003-09-05	2004-05-31
	Rep	Dealing in securities	2003-09-05	2004-05-31
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	-	2003-06-18
	Rep	Advising on securities	-	2003-06-18
	Rep	Providing automated trading services	-	2003-06-18
	Rep	Dealing in securities	-	2003-06-18
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	-	2003-06-18
	Rep	Dealing in futures contracts	-	2003-06-18
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in securities	-	2003-06-18