Chau, Ellis Yat Ming 周日明

Key Data Licences & registrations Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
GUOYUAN FUTURES (HONG KONG) LIMITED	RO	Advising on futures contracts	2014-08-05	-
	RO	Dealing in futures contracts	2014-08-05	-
GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED	RO	Advising on securities	2014-08-05	-
	RO	Dealing in securities	2014-08-05	-
GUOYUAN FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2014-06-13	2014-08-05
	Rep	Dealing in futures contracts	2014-06-13	2014-08-05
GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED	Rep	Advising on securities	2014-06-13	2014-08-05
	Rep	Dealing in securities	2014-06-13	2014-08-05
Soochow Securities International Brokerage Limited	RO	Advising on securities	2013-03-05	2014-05-12
Soochow Securities International Futures Limited	RO	Advising on futures contracts	2012-08-27	2014-05-12
	RO	Dealing in futures contracts	2012-08-27	2014-05-12
Soochow Securities International Brokerage Limited	RO	Dealing in securities	2012-08-21	2014-05-12
PING AN SECURITIES (HONG KONG) FUTURES COMPANY LIMITED	RO	Advising on futures contracts	2012-03-30	2012-06-21
	RO	Dealing in futures contracts	2012-03-30	2012-06-21
Ping An Securities (Hong Kong) Holdings Company Limited	RO	Dealing in securities	2011-10-26	2012-06-21
	Rep	Dealing in securities	2011-09-27	2011-10-26
WINTONE SECURITIES LIMITED	RO	Dealing in securities	2010-01-22	2011-04-08
	RO	Dealing in futures contracts	2009-10-29	2011-04-08
	Rep	Dealing in securities	2009-10-23	2010-01-22
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	RO	Dealing in futures contracts	2003-09-03	2009-10-19
	Rep	Advising on futures contracts	2003-04-01	2003-09-02
	Rep	Asset management	2003-04-01	2003-09-02
	Rep	Dealing in futures contracts	2003-04-01	2003-09-03
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-09-02
	Rep	Advising on securities	2003-04-01	2003-09-02
	Rep	Asset management	2003-04-01	2003-09-02
	Rep	Providing automated trading services	2003-04-01	2003-09-02
	Rep	Dealing in securities	2003-04-01	2009-10-19

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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