SFC Licences of CHU Lap Yan 朱立仁
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 | RO | 2 | 29 September 2014 | 20 November 2020 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 | RO | 1 | 21 May 2013 | 20 November 2020 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 | RE | 1 | 19 September 2007 | 21 May 2013 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 | RE | 2 | 01 April 2003 | 29 September 2014 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 | RE | 9 | 01 April 2003 | 20 February 2004 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 | RE | 5 | 01 April 2003 | 20 February 2004 |