Chu, Joanna Lai Wa 朱麗華

Key Data SFC Licenses 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
Guosen Securities (HK) Brokerage Company, Limited	Rep	Advising on futures contracts	2019-02-20	2019-02-20
	Rep	Advising on securities	2019-02-20	2019-02-20
	Rep	Dealing in futures contracts	2019-02-20	2019-02-20
	Rep	Dealing in securities	2019-02-20	2019-02-20
	RO	Advising on futures contracts	2011-03-14	2019-02-20
	RO	Dealing in futures contracts	2011-03-14	2019-02-20
	RO	Advising on securities	2010-02-26	2019-02-20
	RO	Dealing in securities	2010-02-26	2019-02-20
SINOPAC FUTURES (ASIA) LIMITED	RO	Advising on futures contracts	2006-08-16	2009-10-30
	Rep	Advising on futures contracts	2006-06-08	2006-08-16
	RO	Dealing in futures contracts	2004-11-26	2009-10-30
SINOPAC SECURITIES (ASIA) LIMITED	RO	Advising on securities	2004-11-26	2009-10-30
	RO	Dealing in securities	2004-11-26	2009-10-30
SINOPAC FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2004-09-30	2004-11-26
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2004-09-30	2004-11-26
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2004-08-17	2004-08-17
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Providing automated trading services	2003-07-29	2004-06-08
	Rep	Dealing in securities	2003-07-29	2004-08-17
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Advising on futures contracts	-	2003-07-28
	Rep	Asset management	-	2003-07-28
	Rep	Dealing in futures contracts	-	2004-08-17
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	RO	Advising on corporate finance	-	2003-07-28
	RO	Advising on securities	-	2003-07-28
	RO	Asset management	-	2003-07-28
	RO	Providing automated trading services	-	2004-06-08
	RO	Dealing in securities	-	2004-08-17

Key Data SFC Licenses 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
Guosen Securities (HK) Brokerage Company, Limited	Rep	Advising on futures contracts	2019-02-20	2019-02-20
	Rep	Advising on securities	2019-02-20	2019-02-20
	Rep	Dealing in futures contracts	2019-02-20	2019-02-20
	Rep	Dealing in securities	2019-02-20	2019-02-20
	RO	Advising on futures contracts	2011-03-14	2019-02-20
	RO	Dealing in futures contracts	2011-03-14	2019-02-20
	RO	Advising on securities	2010-02-26	2019-02-20
	RO	Dealing in securities	2010-02-26	2019-02-20
SINOPAC FUTURES (ASIA) LIMITED	RO	Advising on futures contracts	2006-08-16	2009-10-30
	Rep	Advising on futures contracts	2006-06-08	2006-08-16
	RO	Dealing in futures contracts	2004-11-26	2009-10-30
SINOPAC SECURITIES (ASIA) LIMITED	RO	Advising on securities	2004-11-26	2009-10-30
	RO	Dealing in securities	2004-11-26	2009-10-30
SINOPAC FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2004-09-30	2004-11-26
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2004-09-30	2004-11-26
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2004-08-17	2004-08-17
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Providing automated trading services	2003-07-29	2004-06-08
	Rep	Dealing in securities	2003-07-29	2004-08-17
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Advising on futures contracts	-	2003-07-28
	Rep	Asset management	-	2003-07-28
	Rep	Dealing in futures contracts	-	2004-08-17
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	RO	Advising on corporate finance	-	2003-07-28
	RO	Advising on securities	-	2003-07-28
	RO	Asset management	-	2003-07-28
	RO	Providing automated trading services	-	2004-06-08
	RO	Dealing in securities	-	2004-08-17