Chan, Siu Chi 陳少芝

证监会中央编号:ADF951

证监会牌照

没有开始日期的人士至少自现行登记册于2003年4月1日启用时起已担任该职位。

显示机构旧称

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机构	角色	受规管活动	开始日期	结束日期
Manulife Investment Management (Hong Kong) Limited	RO	就证券提供意见	2019-03-11	2021-03-14
	RO	证券交易	2019-03-11	2021-03-14
	Rep	就证券提供意见	2019-01-17	2019-03-11
	Rep	证券交易	2019-01-17	2019-03-11
EASTSPRING INVESTMENTS (HONG KONG) LIMITED (TRADING AS EASTSPRING INVESTMENTS)	RO	就证券提供意见	2017-04-20	2017-06-09
	RO	证券交易	2017-04-20	2017-06-09
	Rep	就证券提供意见	2016-12-05	2017-04-20
	Rep	证券交易	2016-12-05	2017-04-20
HENDERSON GLOBAL INVESTORS (HONG KONG) LIMITED	RO	就证券提供意见	2013-08-06	2016-09-15
	RO	证券交易	2013-08-06	2016-09-15
	Rep	就证券提供意见	2012-10-09	2013-08-06
	Rep	证券交易	2012-10-09	2013-08-06
UBP ASSET MANAGEMENT ASIA LIMITED	Rep	就证券提供意见	2011-03-04	2012-09-30
	Rep	提供资产管理	2011-03-04	2012-09-30
	Rep	证券交易	2011-03-04	2012-09-30
BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED	Rep	就证券提供意见	2008-06-02	2011-02-16
	Rep	证券交易	2008-06-02	2011-02-16
FORTIS INVESTMENT MANAGEMENT HONG KONG LIMITED	Rep	就证券提供意见	2007-05-16	2008-08-18
	Rep	证券交易	2007-05-16	2008-08-18
INVESCO ASSET MANAGEMENT ASIA LIMITED	RO	证券交易	2004-10-05	2006-09-02
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	RO	就证券提供意见	2004-10-05	2006-09-02
	RO	证券交易	2004-10-05	2006-09-02
INVESCO ASSET MANAGEMENT ASIA LIMITED	Rep	证券交易	2004-05-24	2004-10-05
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	Rep	就证券提供意见	2004-05-24	2004-10-05
	Rep	证券交易	2004-05-24	2004-10-05
Legg Mason Asset Management Hong Kong Limited	Rep	就机构融资提供意见	-	2004-05-21
	Rep	就证券提供意见	-	2004-05-21
	Rep	提供资产管理	-	2004-05-21
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	就机构融资提供意见	-	2004-05-21
	Rep	就证券提供意见	-	2004-05-21
	Rep	提供资产管理	-	2004-05-21
	Rep	证券交易	-	2004-05-21

关键资料证监会牌照公开纪律行动

证监会牌照

没有开始日期的人士至少自现行登记册于2003年4月1日启用时起已担任该职位。

显示机构旧称

仅显示现有牌照

机构	角色	受规管活动	开始日期	结束日期
Manulife Investment Management (Hong Kong) Limited	RO	就证券提供意见	2019-03-11	2021-03-14
	RO	证券交易	2019-03-11	2021-03-14
	Rep	就证券提供意见	2019-01-17	2019-03-11
	Rep	证券交易	2019-01-17	2019-03-11
EASTSPRING INVESTMENTS (HONG KONG) LIMITED (TRADING AS EASTSPRING INVESTMENTS)	RO	就证券提供意见	2017-04-20	2017-06-09
	RO	证券交易	2017-04-20	2017-06-09
	Rep	就证券提供意见	2016-12-05	2017-04-20
	Rep	证券交易	2016-12-05	2017-04-20
HENDERSON GLOBAL INVESTORS (HONG KONG) LIMITED	RO	就证券提供意见	2013-08-06	2016-09-15
	RO	证券交易	2013-08-06	2016-09-15
	Rep	就证券提供意见	2012-10-09	2013-08-06
	Rep	证券交易	2012-10-09	2013-08-06
UBP ASSET MANAGEMENT ASIA LIMITED	Rep	就证券提供意见	2011-03-04	2012-09-30
	Rep	提供资产管理	2011-03-04	2012-09-30
	Rep	证券交易	2011-03-04	2012-09-30
BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED	Rep	就证券提供意见	2008-06-02	2011-02-16
	Rep	证券交易	2008-06-02	2011-02-16
FORTIS INVESTMENT MANAGEMENT HONG KONG LIMITED	Rep	就证券提供意见	2007-05-16	2008-08-18
	Rep	证券交易	2007-05-16	2008-08-18
INVESCO ASSET MANAGEMENT ASIA LIMITED	RO	证券交易	2004-10-05	2006-09-02
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	RO	就证券提供意见	2004-10-05	2006-09-02
	RO	证券交易	2004-10-05	2006-09-02
INVESCO ASSET MANAGEMENT ASIA LIMITED	Rep	证券交易	2004-05-24	2004-10-05
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	Rep	就证券提供意见	2004-05-24	2004-10-05
	Rep	证券交易	2004-05-24	2004-10-05
Legg Mason Asset Management Hong Kong Limited	Rep	就机构融资提供意见	-	2004-05-21
	Rep	就证券提供意见	-	2004-05-21
	Rep	提供资产管理	-	2004-05-21
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	就机构融资提供意见	-	2004-05-21
	Rep	就证券提供意见	-	2004-05-21
	Rep	提供资产管理	-	2004-05-21
	Rep	证券交易	-	2004-05-21