Chu, Tai Wai 朱大衛
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 | Lion Global Financial Limited | Rep | Advising on securities | 2006-10-10 | 2006-11-20 |
| 2 | iBest Consultants Limited | Rep | Advising on securities | 2006-11-29 | 2007-03-16 |
| 3 | iBest Consultants Limited | Rep | Asset management | 2006-12-29 | 2007-03-16 |
| 4 | PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Asset management | 2007-03-30 | 2012-06-30 |
| 5 | PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2007-05-02 | 2019-02-28 |
| 6 | PHILLIP CAPITAL MANAGEMENT (HK) LIMITED | Rep | Asset management | 2012-07-03 | 2016-07-08 |
| 7 | Alpha Win Capital Limited | RO | Advising on securities | 2019-03-06 | 2020-11-21 |
| 8 | Alpha Win Capital Limited | RO | Asset management | 2019-03-06 | 2020-11-21 |
| 9 | Alpha Win Capital Limited | RO | Dealing in securities | 2019-03-06 | 2020-11-21 |
| 10 | SunRiver International Securities Group Limited | RO | Advising on securities | 2021-01-05 | 2023-08-10 |
| 11 | SunRiver International Securities Group Limited | RO | Asset management | 2021-01-05 | 2023-08-10 |
| 12 | SunRiver International Securities Group Limited | RO | Dealing in securities | 2021-01-05 | 2023-08-10 |
| 13 | Marlin Capital Limited | RO | Advising on securities | 2023-08-16 | |
| 14 | Marlin Capital Limited | RO | Asset management | 2023-08-16 | |
| 15 | Marlin Capital Limited | RO | Dealing in securities | 2023-08-16 |
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