Chu, Patrick Pak Ning 朱柏寧
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 | CLSA LIMITED | Rep | Advising on corporate finance | 2004-03-18 | |
| 2 | CLSA LIMITED | Rep | Advising on securities | 2004-03-18 | |
| 3 | CLSA LIMITED | Rep | Asset management | 2004-03-18 | |
| 4 | CLSA LIMITED | Rep | Dealing in securities | 2005-04-20 | |
| 5 | DEUTSCHE SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2005-05-09 | 2010-04-24 |
| 6 | Daiwa Capital Markets Hong Kong Limited | Rep | Dealing in futures contracts | 2010-08-04 | 2012-02-16 |
| 7 | Daiwa Capital Markets Hong Kong Limited | Rep | Dealing in securities | 2010-08-04 | 2012-02-16 |
| 8 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2012-04-13 | |
| 9 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2012-04-13 | |
| 10 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on securities | 2012-04-13 | 2016-10-11 |
| 11 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Dealing in securities | 2012-04-13 | 2016-10-11 |
| 12 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on securities | 2019-12-30 | 2022-06-29 |
| 13 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Automated trading services | 2019-12-30 | 2022-06-29 |
| 14 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Dealing in securities | 2019-12-30 | 2022-06-29 |
| 15 | J.P. MORGAN BROKING (HONG KONG) LIMITED | RO | Advising on securities | 2022-06-29 | |
| 16 | J.P. MORGAN BROKING (HONG KONG) LIMITED | RO | Automated trading services | 2022-06-29 | |
| 17 | J.P. MORGAN BROKING (HONG KONG) LIMITED | RO | Dealing in securities | 2022-06-29 |
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