SFC Licences of CHAU Chung Yin, Samiel 周中彥

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

Institution Role Licences Start date End date
CNI Global Assets Management Limited 中國北方環球資產管理有限公司
RO 9 06 October 2021
CNI Securities Group Limited 中國北方證券集團有限公司
RO 1, 2, 4 10 August 2021
CNI Securities Group Limited 中國北方證券集團有限公司
RE 1, 2 09 June 2021 10 August 2021
Huajin Futures (International) Limited 華金期貨(國際)有限公司
RE 2 20 January 2021 05 May 2021
Huajin Securities (International) Limited 華金證券(國際)有限公司
RE 1 30 November 2020 05 May 2021
Matrix Securities Limited 矩陣證券有限公司
RO 2 17 May 2017 04 May 2020
Matrix Asset Management Limited 矩陣資產管理有限公司
RO 4 10 November 2016 31 October 2020
Matrix Securities Limited 矩陣證券有限公司
RO 1 27 June 2014 31 October 2020
Matrix Securities Limited 矩陣證券有限公司
RE 1 23 June 2014 27 June 2014
China Finance Holdings Limited 中港金融證券有限公司
RO 1 22 February 2013 18 June 2014
Finet Securities Limited 財華證券有限公司
RO 1, 2 22 February 2013 18 June 2014
Well Link Securities Limited 立橋證券有限公司
RO 1, 2 06 December 2012 01 February 2013
Tiger Securities Asset Management Company Limited 泰嘉證券資產管理有限公司
RO 1 11 January 2011 10 October 2012
Tiger Securities Asset Management Company Limited 泰嘉證券資產管理有限公司
RE 1 03 January 2011 11 January 2011
ASA Securities Limited 富國證券有限公司
RO 1, 2 19 August 2010 01 January 2011
Bright Smart Securities International (H.K.) Limited 耀才證券國際(香港)有限公司
RO 4 05 October 2009 14 October 2009
Bright Smart Securities International (H.K.) Limited 耀才證券國際(香港)有限公司
RO 1 22 July 2008 14 October 2009
Bright Smart Futures & Commodities Company Limited 耀才期貨及商品有限公司
RO 2 22 July 2008 14 October 2009
Bright Smart Securities International (H.K.) Limited 耀才證券國際(香港)有限公司
RE 1 07 July 2006 22 July 2008
Bright Smart Futures & Commodities Company Limited 耀才期貨及商品有限公司
RE 2 07 July 2006 22 July 2008
Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司
RE 1, 2 08 April 2005 26 June 2006
SinoPac Futures (Asia) Limited 永豐金期貨(亞洲)有限公司
RE 2 01 April 2003 31 March 2005
SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司
RE 1 01 April 2003 31 March 2005
SinoPac Futures (Asia) Limited 永豐金期貨(亞洲)有限公司
RE 5, 9 01 April 2003 20 January 2004
SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司
RE 4, 6, 9 01 April 2003 20 January 2004