Chau, Ling 周凌
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 | BOCI SECURITIES LIMITED | Rep | Advising on securities | 2011-08-29 | 2014-02-05 | Rep | Dealing in futures contracts | 2011-08-29 | 2014-02-05 | Rep | Dealing in securities | 2011-08-29 | 2014-02-05 | Rep | Leveraged foreign exchange trading | 2011-08-29 | 2014-02-05 |
2 | CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED | Rep | Dealing in futures contracts | 2007-02-12 | 2008-02-18 | Rep | Leveraged foreign exchange trading | 2007-02-12 | 2008-02-18 |
3 | CHINA EVERBRIGHT SECURITIES (HK) LIMITED | Rep | Dealing in securities | 2007-03-05 | 2008-02-18 |
4 | EMPEROR FUTURES LIMITED | Rep | Dealing in futures contracts | 2006-12-15 | 2007-01-01 |
5 | EMPEROR INTERNATIONAL EXCHANGE (HONG KONG) COMPANY LIMITED | Rep | Leveraged foreign exchange trading | 2006-12-15 | 2007-01-01 |
6 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Advising on securities | 2016-07-05 | 2016-12-12 | Rep | Dealing in futures contracts | 2016-07-05 | 2016-12-12 | Rep | Dealing in securities | 2016-07-05 | 2016-12-12 |
7 | IMO Asset Management Limited | Rep | Advising on securities | 2023-09-14 | 2023-11-14 | Rep | Asset management | 2023-09-14 | 2023-11-14 | RO | Advising on securities | 2023-11-14 | RO | Asset management | 2023-11-14 |
8 | Nomura Asia Investment (Hong Kong) Limited | Rep | Dealing in futures contracts | 2008-02-29 | 2010-02-19 |
9 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-02-29 | 2011-07-07 | Rep | Dealing in securities | 2008-02-29 | 2011-07-07 |
10 | NOMURA SECURITIES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2010-02-04 | 2011-07-07 |
11 | PHILLIP COMMODITIES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2007-01-23 | 2007-01-31 | Rep | Leveraged foreign exchange trading | 2007-01-23 | 2007-01-31 |
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