Chu, Sau Ming 朱秀明
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 | aacat fintech Limited | RO | Dealing in securities | 2022-09-27 | |
| 2 | BMI FUNDS MANAGEMENT LIMITED | RO | Dealing in securities | 2010-09-10 | 2016-04-01 | Rep | Asset management | 2011-07-15 | 2013-12-23 | RO | Asset management | 2013-12-23 | 2016-04-01 |
| 3 | BMI Securities Limited | RO | Dealing in securities | 2011-03-14 | 2016-04-01 |
| 4 | CHINA QIANHAI ZHONGJIN SECURITIES LIMITED | RO | Dealing in securities | 2016-11-03 | 2017-09-15 |
| 5 | CHUNG LEE SECURITIES COMPANY LIMITED | RO | Dealing in securities | 2018-01-09 | 2019-11-02 |
| 6 | CINDA INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2003-08-19 | 2004-05-24 |
| 7 | CINDA INTERNATIONAL INVESTMENT MANAGEMENT LIMITED | Rep | Leveraged foreign exchange trading | 2004-05-24 | |
| 8 | CINDA INTERNATIONAL SECURITIES LIMITED | Rep | Advising on corporate finance | 2003-08-08 | Rep | Advising on securities | 2003-08-08 | Rep | Asset management | 2003-08-08 | Rep | Automated trading services | 2003-08-08 | Rep | Dealing in securities | 2005-08-01 |
| 9 | Finet Securities Limited | Rep | Dealing in securities | 2005-09-01 | 2007-07-31 |
| 10 | GLOBAL AMPLE ASSET MANAGEMENT COMPANY LIMITED | RO | Advising on securities | 2020-05-20 | 2021-11-30 | RO | Asset management | 2020-05-20 | 2021-11-30 |
| 11 | Hong Kong Securities (International) Company Limited | Rep | Dealing in securities | 2009-10-23 | 2010-04-30 |
| 12 | ZhongHua Finance Asset Management Co., Limited | RO | Asset management | 2017-11-29 | 2019-11-02 | RO | Advising on securities | 2018-08-08 | 2019-11-02 |
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