Chau, Ellis Yat Ming 周日明
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 | GUOYUAN FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2014-06-13 | 2014-08-05 | Rep | Dealing in futures contracts | 2014-06-13 | 2014-08-05 | RO | Advising on futures contracts | 2014-08-05 | RO | Dealing in futures contracts | 2014-08-05 |
| 2 | GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED | Rep | Advising on securities | 2014-06-13 | 2014-08-05 | Rep | Dealing in securities | 2014-06-13 | 2014-08-05 | RO | Advising on securities | 2014-08-05 | RO | Dealing in securities | 2014-08-05 |
| 3 | PING AN OF CHINA FUTURES (HONG KONG) COMPANY LIMITED | RO | Advising on futures contracts | 2012-03-30 | 2012-06-21 | RO | Dealing in futures contracts | 2012-03-30 | 2012-06-21 |
| 4 | PING AN OF CHINA SECURITIES (HONG KONG) COMPANY LIMITED | Rep | Dealing in securities | 2011-09-27 | 2011-10-26 | RO | Dealing in securities | 2011-10-26 | 2012-06-21 |
| 5 | SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Advising on futures contracts | 2003-09-02 | Rep | Asset management | 2003-09-02 | Rep | Dealing in futures contracts | 2003-09-03 | RO | Dealing in futures contracts | 2003-09-03 | 2009-10-19 |
| 6 | SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Advising on corporate finance | 2003-09-02 | Rep | Advising on securities | 2003-09-02 | Rep | Asset management | 2003-09-02 | Rep | Automated trading services | 2003-09-02 | Rep | Dealing in securities | 2009-10-19 |
| 7 | Soochow Securities International Brokerage Limited | RO | Dealing in securities | 2012-08-21 | 2014-05-12 | RO | Advising on securities | 2013-03-05 | 2014-05-12 |
| 8 | Soochow Securities International Futures Limited | RO | Advising on futures contracts | 2012-08-27 | 2014-05-12 | RO | Dealing in futures contracts | 2012-08-27 | 2014-05-12 |
| 9 | WINTONE SECURITIES LIMITED | Rep | Dealing in securities | 2009-10-23 | 2010-01-22 | RO | Dealing in futures contracts | 2009-10-29 | 2011-04-08 | RO | Dealing in securities | 2010-01-22 | 2011-04-08 |
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