Chan, Sophia Sok Yin 陳淑妍

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SFC roles

Organisation Position From Until
1 CITIC Securities Brokerage (HK) Limited RepRepresentative 2003-12-16 2006-03-11
2 CITIC Securities Futures (HK) Limited RepRepresentative 2003-12-16 2006-03-11
3 CSC FINANCIAL SERVICES LIMITED (d2015-11-19) Resp OffResponsible Officer 2008-08-21 2009-10-28
4 CSC FUTURES (HK) LIMITED RepRepresentative 2008-09-30 2009-10-28
5 CSC SECURITIES (HK) LIMITED RepRepresentative 2008-07-25 2008-08-21
Resp OffResponsible Officer 2008-08-21 2009-10-28
6 FIRST SHANGHAI FUTURES LIMITED RepRepresentative 2003-11-18 2003-11-19
7 FIRST SHANGHAI SECURITIES LIMITED RepRepresentative 2003-11-18 2003-11-19
8 REDFORD SECURITIES LIMITED Resp OffResponsible Officer 2011-10-18 2011-12-29
9 SHENWAN HONGYUAN ASSET MANAGEMENT (ASIA) LIMITED RepRepresentative 2006-07-04 2006-11-01
10 SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED RepRepresentative 2006-11-24 2007-03-13
Resp OffResponsible Officer 2007-03-13 2008-07-16

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