SFC Licences of CHAU Yat Ming, Ellis 周日明

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution	Role	Licences	Start date	End date
Guoyuan Futures (Hong Kong) Limited 國元期貨(香港)有限公司	RO	5	05 August 2014
Guoyuan Futures (Hong Kong) Limited 國元期貨(香港)有限公司	RO	2	05 August 2014
Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司	RO	4	05 August 2014
Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司	RO	1	05 August 2014
Guoyuan Futures (Hong Kong) Limited 國元期貨(香港)有限公司	RE	5	13 June 2014	05 August 2014
Guoyuan Futures (Hong Kong) Limited 國元期貨(香港)有限公司	RE	2	13 June 2014	05 August 2014
Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司	RE	4	13 June 2014	05 August 2014
Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司	RE	1	13 June 2014	05 August 2014
Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司	RO	4	05 March 2013	12 May 2014
Soochow Securities International Futures Limited 東吳證券國際期貨有限公司	RO	5	27 August 2012	12 May 2014
Soochow Securities International Futures Limited 東吳證券國際期貨有限公司	RO	2	27 August 2012	12 May 2014
Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司	RO	1	21 August 2012	12 May 2014
Ping An of China Futures (Hong Kong) Company Limited 中國平安期貨(香港)有限公司	RO	5	30 March 2012	21 June 2012
Ping An of China Futures (Hong Kong) Company Limited 中國平安期貨(香港)有限公司	RO	2	30 March 2012	21 June 2012
Ping An of China Securities (Hong Kong) Company Limited 中國平安証券(香港)有限公司	RO	1	26 October 2011	21 June 2012
Ping An of China Securities (Hong Kong) Company Limited 中國平安証券(香港)有限公司	RE	1	27 September 2011	26 October 2011
Wintone Securities Limited 榮通證券有限公司	RO	1	22 January 2010	08 April 2011
Wintone Securities Limited 榮通證券有限公司	RO	2	29 October 2009	08 April 2011
Wintone Securities Limited 榮通證券有限公司	RE	1	23 October 2009	22 January 2010
Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司	RO	2	03 September 2003	19 October 2009
Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司	RE	1	01 April 2003	19 October 2009
Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司	RE	2	01 April 2003	03 September 2003
Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司	RE	9	01 April 2003	02 September 2003
Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司	RE	7	01 April 2003	02 September 2003
Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司	RE	6	01 April 2003	02 September 2003
Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司	RE	4	01 April 2003	02 September 2003
Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司	RE	5	01 April 2003	02 September 2003
Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司	RE	9	01 April 2003	02 September 2003