Chu, Joanna Lai Wa 朱麗華
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 | CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Automated trading services | 2003-07-29 | 2004-06-08 | Rep | Dealing in securities | 2003-07-29 | 2004-08-17 |
2 | CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | Advising on futures contracts | 2003-07-28 | Rep | Asset management | 2003-07-28 | Rep | Dealing in futures contracts | 2004-08-17 |
3 | CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | RO | Advising on corporate finance | 2003-07-28 | RO | Advising on securities | 2003-07-28 | RO | Asset management | 2003-07-28 | RO | Automated trading services | 2004-06-08 | RO | Dealing in securities | 2004-08-17 | Rep | Dealing in securities | 2004-08-17 | 2004-08-17 |
4 | Guosen Securities (HK) Brokerage Company, Limited | RO | Advising on securities | 2010-02-26 | 2019-02-20 | RO | Dealing in securities | 2010-02-26 | 2019-02-20 | RO | Advising on futures contracts | 2011-03-14 | 2019-02-20 | RO | Dealing in futures contracts | 2011-03-14 | 2019-02-20 | Rep | Advising on futures contracts | 2019-02-20 | 2019-02-20 | Rep | Advising on securities | 2019-02-20 | 2019-02-20 | Rep | Dealing in futures contracts | 2019-02-20 | 2019-02-20 | Rep | Dealing in securities | 2019-02-20 | 2019-02-20 |
5 | SINOPAC FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2004-09-30 | 2004-11-26 | RO | Dealing in futures contracts | 2004-11-26 | 2009-10-30 | Rep | Advising on futures contracts | 2006-06-08 | 2006-08-16 | RO | Advising on futures contracts | 2006-08-16 | 2009-10-30 |
6 | SINOPAC SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2004-09-30 | 2004-11-26 | RO | Advising on securities | 2004-11-26 | 2009-10-30 | RO | Dealing in securities | 2004-11-26 | 2009-10-30 |
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