Chu, Brian Chi Yan 朱智仁
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 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | Advising on corporate finance | 2004-05-25 | Rep | Advising on securities | 2004-05-25 | Rep | Asset management | 2004-05-25 | Rep | Dealing in securities | 2004-05-25 |
| 2 | Citigroup Global Markets Asia Limited | Rep | Dealing in securities | 2004-06-29 | 2006-04-27 |
| 3 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in futures contracts | 2004-06-29 | 2006-04-27 | Rep | Dealing in securities | 2004-06-29 | 2006-04-27 |
| 4 | DEUTSCHE SECURITIES ASIA LIMITED | Rep | Automated trading services | 2010-09-15 | 2013-03-06 | Rep | Dealing in securities | 2010-09-15 | 2015-01-15 | Rep | Dealing in futures contracts | 2010-09-15 | 2019-08-30 | RO | Dealing in securities | 2015-01-15 | 2019-08-30 |
| 5 | Morgan Stanley Asia Limited | Rep | Automated trading services | 2006-06-06 | 2010-06-11 | Rep | Dealing in securities | 2006-06-06 | 2010-06-11 |
| 6 | Morgan Stanley Hong Kong Futures Limited | Rep | Automated trading services | 2006-06-06 | 2010-06-11 | Rep | Dealing in futures contracts | 2006-06-06 | 2010-06-11 |
| 7 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in securities | 2006-06-06 | 2010-06-11 |
| 8 | Sanford C. Bernstein (Hong Kong) Limited | Rep | Dealing in securities | 2019-09-17 | Rep | Advising on securities | 2019-10-09 |
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