Chau, Kenneth Yiu Man 周耀文
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 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Dealing in futures contracts | 2009-12-07 | 2011-08-17 | Rep | Dealing in securities | 2009-12-07 | 2011-08-17 |
| 2 | BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED | Rep | Dealing in futures contracts | 2012-01-20 | 2013-05-27 |
| 3 | BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2012-01-20 | 2013-05-27 |
| 4 | DEUTSCHE SECURITIES ASIA LIMITED | Rep | Advising on corporate finance | 2004-01-08 | Rep | Asset management | 2004-01-08 | Rep | Advising on securities | 2004-04-17 | Rep | Dealing in securities | 2005-08-30 |
| 5 | Guosen Securities (HK) Brokerage Company, Limited | RO | Advising on futures contracts | 2013-07-10 | 2015-09-18 | RO | Advising on securities | 2013-07-10 | 2015-09-18 | RO | Dealing in futures contracts | 2013-07-10 | 2015-09-18 | RO | Dealing in securities | 2013-07-10 | 2015-09-18 |
| 6 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in futures contracts | 2008-04-10 | 2008-09-29 | Rep | Dealing in securities | 2008-04-10 | 2008-09-29 |
| 7 | LEHMAN BROTHERS FUTURES ASIA LIMITED | Rep | Dealing in futures contracts | 2008-04-10 | 2008-09-29 |
| 8 | LEHMAN BROTHERS SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2008-05-21 | 2008-09-29 |
| 9 | Morgan Stanley Asia Limited | Rep | Automated trading services | 2005-10-10 | 2008-03-11 | Rep | Dealing in securities | 2005-10-10 | 2008-03-11 |
| 10 | Morgan Stanley Hong Kong Futures Limited | Rep | Automated trading services | 2005-10-10 | 2008-03-11 | Rep | Dealing in futures contracts | 2005-10-10 | 2008-03-11 |
| 11 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in securities | 2006-05-17 | 2008-03-11 |
| 12 | Nomura Asia Investment (Hong Kong) Limited | Rep | Dealing in futures contracts | 2008-11-28 | 2009-10-29 |
| 13 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-10-10 | 2009-10-29 | Rep | Dealing in securities | 2008-10-10 | 2009-10-29 |
| 14 | SBI Securities (Hong Kong) Limited | Rep | Dealing in securities | 2016-01-18 | 2016-03-21 | RO | Dealing in securities | 2016-03-21 | RO | Advising on securities | 2018-09-12 |
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