Chau, Ling 周凌

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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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