Chau, Ellis Yat Ming 周日明

证监会中央编号:AAE435

证监会牌照

没有开始日期的人士至少自现行登记册于2003年4月1日启用时起已担任该职位。

显示机构旧称

仅显示现有牌照

机构	角色	受规管活动	开始日期	结束日期
GUOYUAN FUTURES (HONG KONG) LIMITED	RO	就期货合约提供意见	2014-08-05	-
	RO	期货合约交易	2014-08-05	-
GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED	RO	就证券提供意见	2014-08-05	-
	RO	证券交易	2014-08-05	-
GUOYUAN FUTURES (HONG KONG) LIMITED	Rep	就期货合约提供意见	2014-06-13	2014-08-05
	Rep	期货合约交易	2014-06-13	2014-08-05
GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED	Rep	就证券提供意见	2014-06-13	2014-08-05
	Rep	证券交易	2014-06-13	2014-08-05
Soochow Securities International Brokerage Limited	RO	就证券提供意见	2013-03-05	2014-05-12
Soochow Securities International Futures Limited	RO	就期货合约提供意见	2012-08-27	2014-05-12
	RO	期货合约交易	2012-08-27	2014-05-12
Soochow Securities International Brokerage Limited	RO	证券交易	2012-08-21	2014-05-12
PING AN SECURITIES (HONG KONG) FUTURES COMPANY LIMITED	RO	就期货合约提供意见	2012-03-30	2012-06-21
	RO	期货合约交易	2012-03-30	2012-06-21
Ping An Securities (Hong Kong) Holdings Company Limited	RO	证券交易	2011-10-26	2012-06-21
	Rep	证券交易	2011-09-27	2011-10-26
WINTONE SECURITIES LIMITED	RO	证券交易	2010-01-22	2011-04-08
	RO	期货合约交易	2009-10-29	2011-04-08
	Rep	证券交易	2009-10-23	2010-01-22
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	RO	期货合约交易	2003-09-03	2009-10-19
	Rep	就期货合约提供意见	2003-04-01	2003-09-02
	Rep	提供资产管理	2003-04-01	2003-09-02
	Rep	期货合约交易	2003-04-01	2003-09-03
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	就机构融资提供意见	2003-04-01	2003-09-02
	Rep	就证券提供意见	2003-04-01	2003-09-02
	Rep	提供资产管理	2003-04-01	2003-09-02
	Rep	提供自动化交易服务	2003-04-01	2003-09-02
	Rep	证券交易	2003-04-01	2009-10-19

关键资料证监会牌照公开纪律行动

证监会牌照

没有开始日期的人士至少自现行登记册于2003年4月1日启用时起已担任该职位。

显示机构旧称

仅显示现有牌照

机构	角色	受规管活动	开始日期	结束日期
GUOYUAN FUTURES (HONG KONG) LIMITED	RO	就期货合约提供意见	2014-08-05	-
	RO	期货合约交易	2014-08-05	-
GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED	RO	就证券提供意见	2014-08-05	-
	RO	证券交易	2014-08-05	-
GUOYUAN FUTURES (HONG KONG) LIMITED	Rep	就期货合约提供意见	2014-06-13	2014-08-05
	Rep	期货合约交易	2014-06-13	2014-08-05
GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED	Rep	就证券提供意见	2014-06-13	2014-08-05
	Rep	证券交易	2014-06-13	2014-08-05
Soochow Securities International Brokerage Limited	RO	就证券提供意见	2013-03-05	2014-05-12
Soochow Securities International Futures Limited	RO	就期货合约提供意见	2012-08-27	2014-05-12
	RO	期货合约交易	2012-08-27	2014-05-12
Soochow Securities International Brokerage Limited	RO	证券交易	2012-08-21	2014-05-12
PING AN SECURITIES (HONG KONG) FUTURES COMPANY LIMITED	RO	就期货合约提供意见	2012-03-30	2012-06-21
	RO	期货合约交易	2012-03-30	2012-06-21
Ping An Securities (Hong Kong) Holdings Company Limited	RO	证券交易	2011-10-26	2012-06-21
	Rep	证券交易	2011-09-27	2011-10-26
WINTONE SECURITIES LIMITED	RO	证券交易	2010-01-22	2011-04-08
	RO	期货合约交易	2009-10-29	2011-04-08
	Rep	证券交易	2009-10-23	2010-01-22
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	RO	期货合约交易	2003-09-03	2009-10-19
	Rep	就期货合约提供意见	2003-04-01	2003-09-02
	Rep	提供资产管理	2003-04-01	2003-09-02
	Rep	期货合约交易	2003-04-01	2003-09-03
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	就机构融资提供意见	2003-04-01	2003-09-02
	Rep	就证券提供意见	2003-04-01	2003-09-02
	Rep	提供资产管理	2003-04-01	2003-09-02
	Rep	提供自动化交易服务	2003-04-01	2003-09-02
	Rep	证券交易	2003-04-01	2009-10-19