Chow, Shu Lai 鄒樹禮
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 | CITIC Securities Brokerage (HK) Limited | Rep | Advising on corporate finance | 2003-06-25 | Rep | Automated trading services | 2004-03-11 | Rep | Asset management | 2006-04-24 | Rep | Advising on securities | 2008-01-29 | Rep | Dealing in securities | 2010-01-18 | RO | Dealing in securities | 2010-01-18 | 2011-09-15 |
| 2 | CITIC Securities Futures (HK) Limited | Rep | Dealing in futures contracts | 2003-07-24 | RO | Dealing in futures contracts | 2003-07-24 | 2004-06-10 | Rep | Dealing in futures contracts | 2004-06-10 | 2010-11-04 | RO | Dealing in futures contracts | 2010-11-04 | 2011-09-15 |
| 3 | KGI ASIA LIMITED | Rep | Advising on securities | 2011-11-09 | 2011-12-30 | Rep | Dealing in securities | 2011-11-09 | 2011-12-30 | RO | Advising on securities | 2011-12-30 | 2013-07-01 | RO | Dealing in securities | 2011-12-30 | 2013-07-01 |
| 4 | KGI FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2011-11-09 | 2011-12-30 | Rep | Dealing in futures contracts | 2011-11-09 | 2011-12-30 | RO | Advising on futures contracts | 2011-12-30 | 2013-07-01 | RO | Dealing in futures contracts | 2011-12-30 | 2013-07-01 |
| 5 | KGI SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2011-11-09 | 2011-12-30 | RO | Dealing in securities | 2011-12-30 | 2013-07-01 |
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