Chau, Shamrock Roy 周尚立
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 EVERBRIGHT CAPITAL LIMITED | Rep | Advising on corporate finance | 2013-08-12 | 2014-05-12 | RO | Advising on corporate finance | 2014-05-12 | 2017-05-09 | Rep | Dealing in securities | 2014-07-09 | 2017-05-09 |
| 2 | Everbright Securities Global (HK) Limited | Rep | Advising on securities | 2004-01-09 | Rep | Asset management | 2004-01-09 | Rep | Advising on corporate finance | 2005-07-18 | Rep | Dealing in securities | 2005-02-03 | 2005-07-18 |
| 3 | FIRST SHANGHAI CAPITAL LIMITED | Rep | Advising on corporate finance | 2011-03-18 | 2013-06-19 |
| 4 | Huarong International Capital Limited (HK) | Rep | Advising on corporate finance | 2021-04-27 | 2021-07-19 | Rep | Dealing in securities | 2021-04-27 | 2021-07-19 | RO | Advising on corporate finance | 2021-07-19 | 2022-09-30 | RO | Dealing in securities | 2021-07-19 | 2022-09-30 |
| 5 | Huarong International Securities Limited | Rep | Dealing in securities | 2021-04-27 | 2021-07-19 | RO | Dealing in securities | 2021-07-19 | 2022-09-30 |
| 6 | INNOVAX CAPITAL LIMITED | Rep | Advising on corporate finance | 2020-10-07 | 2020-12-11 | Rep | Dealing in securities | 2020-10-07 | 2020-12-11 | RO | Advising on corporate finance | 2020-12-11 | 2021-02-05 | RO | Dealing in securities | 2020-12-11 | 2021-02-05 | Rep | Advising on corporate finance | 2022-10-18 | 2023-02-22 | Rep | Dealing in securities | 2022-10-18 | 2023-02-22 | RO | Advising on corporate finance | 2023-02-22 | RO | Dealing in securities | 2023-02-22 |
| 7 | Mason Securities Limited | Rep | Advising on corporate finance | 2008-06-04 | 2009-03-20 | Rep | Dealing in securities | 2008-06-04 | 2009-03-20 |
| 8 | SINOLINK SECURITIES (HONG KONG) COMPANY LIMITED | Rep | Dealing in securities | 2017-08-21 | 2020-07-07 | RO | Advising on corporate finance | 2017-08-21 | 2020-07-07 |
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