Chu, Siu Ling 朱小玲
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 | ARTE Capital Management Limited | Rep | Advising on securities | 2020-04-02 | 2020-06-22 | Rep | Asset management | 2020-04-02 | 2020-06-22 | RO | Advising on securities | 2020-06-22 | 2021-03-31 | RO | Asset management | 2020-06-22 | 2021-03-31 |
| 2 | China Galaxy International Futures (Hong Kong) Co., Limited | Rep | Dealing in futures contracts | 2013-03-05 | 2013-07-15 |
| 3 | China Galaxy International Securities (Hong Kong) Co., Limited | Rep | Dealing in securities | 2013-03-05 | 2013-07-15 |
| 4 | First Prosperous Asset Management Company Limited | RO | Advising on securities | 2021-05-10 | 2021-05-26 | RO | Asset management | 2021-05-10 | 2021-05-26 |
| 5 | First Prosperous Capital Company Limited | RO | Dealing in securities | 2021-05-10 | 2021-05-26 |
| 6 | JS SECURITIES LIMITED (HK) | RO | Advising on securities | 2016-06-23 | 2017-08-11 | RO | Dealing in securities | 2016-06-23 | 2017-08-11 |
| 7 | Nerico Brothers Limited (HK) | Rep | Dealing in futures contracts | 2008-06-24 | 2009-06-01 | Rep | Dealing in securities | 2008-06-24 | 2009-06-01 |
| 8 | Old Peak Capital Limited | Rep | Advising on securities | 2019-04-18 | 2019-04-26 | Rep | Asset management | 2019-04-18 | 2019-04-26 | RO | Advising on securities | 2019-04-26 | 2019-11-08 | RO | Asset management | 2019-04-26 | 2019-11-08 |
| 9 | ORIENT ASSET MANAGEMENT (HONG KONG) LIMITED | Rep | Asset management | 2015-03-30 | 2016-06-02 |
| 10 | ORIENT FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2013-08-20 | 2016-06-02 |
| 11 | ORIENT SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2013-08-20 | 2016-06-02 |
| 12 | QIAN LONG ASSETS MANAGEMENT COMPANY LIMITED | RO | Advising on securities | 2018-10-31 | 2019-04-15 | RO | Asset management | 2018-10-31 | 2019-04-15 |
| 13 | SBI China Capital Commodities Limited | Rep | Dealing in futures contracts | 2010-05-06 | 2013-02-27 |
| 14 | SBI China Capital Financial Services Limited | Rep | Dealing in securities | 2010-05-06 | 2013-02-27 |
| 15 | SBI China Capital Securities Limited | Rep | Dealing in securities | 2010-05-06 | 2011-09-30 |
| 16 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2009-06-10 | 2010-05-01 |
| 17 | SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Dealing in futures contracts | 2009-06-10 | 2010-05-01 |
| 18 | ZHONGHUI INTERNATIONAL FUTURES COMPANY LIMITED | RO | Dealing in futures contracts | 2016-11-04 | 2017-08-11 |
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