Chu, Wayne Wing Kar 朱永嘉
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 | BNP PARIBAS FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2010-05-19 | 2010-10-15 |
| 2 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2006-05-24 | 2010-10-15 | Rep | Automated trading services | 2009-11-26 | 2010-10-15 |
| 3 | CLSA LIMITED | Rep | Dealing in securities | 2015-09-23 | 2016-10-12 |
| 4 | ETRADE SECURITIES (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2004-02-09 | Rep | Asset management | 2004-02-09 | Rep | Advising on securities | 2006-05-09 |
| 5 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2011-01-18 | 2013-03-12 |
| 6 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in securities | 2012-04-27 | 2013-03-12 |
| 7 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2011-01-18 | 2013-03-12 |
| 8 | HENYEP SECURITIES LIMITED | Rep | Dealing in securities | 2017-09-12 | 2022-09-30 |
| 9 | INSTINET PACIFIC LIMITED | Rep | Advising on securities | 2013-06-10 | 2014-09-20 | Rep | Automated trading services | 2013-06-10 | 2014-09-20 | Rep | Dealing in securities | 2013-06-10 | 2014-09-20 |
| 10 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2014-09-22 | 2015-06-24 | Rep | Dealing in securities | 2014-09-22 | 2015-06-24 |
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