Chen, Wenhan (SFC:APF628) 陳文翰
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CITIC Securities (Hong Kong) Limited | Rep | Advising on corporate finance | 2019-05-06 | 2019-07-17 | Rep | Advising on securities | 2019-05-06 | 2019-07-17 |
| 2 | CLSA LIMITED | Rep | Advising on securities | 2019-05-06 | 2019-07-17 | Rep | Dealing in securities | 2019-05-06 | 2019-07-17 |
| 3 | CLSA RESEARCH LIMITED | Rep | Advising on securities | 2007-07-10 | 2010-09-10 |
| 4 | Credit Suisse (Hong Kong) Limited | Rep | Advising on securities | 2010-10-08 | 2013-01-30 |
| 5 | Jefferies Hong Kong Limited | Rep | Advising on securities | 2013-06-24 | 2013-09-16 |
| 6 | Merrill Lynch (Asia Pacific) Limited | Rep | Advising on securities | 2013-10-16 | 2018-04-16 | Rep | Dealing in securities | 2013-10-16 | 2018-04-16 |
| 7 | Moody's Investors Service Hong Kong Limited | Rep | Credit rating services | 2018-06-05 | 2018-12-28 |
| 8 | PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED | Rep | Advising on securities | 2022-12-01 | Rep | Asset management | 2022-12-01 |
| 9 | PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED | Rep | Advising on securities | 2022-03-18 | 2022-12-31 | Rep | Asset management | 2022-03-18 | 2022-12-31 |
| 10 | TAIPING ASSETS MANAGEMENT (HK) COMPANY LIMITED | Rep | Advising on securities | 2019-10-28 | 2022-02-28 | Rep | Asset management | 2019-11-01 | 2022-02-28 |
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