SFC Licences of CHU Lai Wa, Joanna 朱麗華

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

Institution Role Licences Start date End date
Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司
RE 1, 2, 4, 5 20 February 2019 20 February 2019
Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司
RO 2, 5 14 March 2011 20 February 2019
Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司
RO 1, 4 26 February 2010 20 February 2019
SinoPac Futures (Asia) Limited 永豐金期貨(亞洲)有限公司
RO 5 16 August 2006 30 October 2009
SinoPac Futures (Asia) Limited 永豐金期貨(亞洲)有限公司
RE 5 08 June 2006 16 August 2006
SinoPac Futures (Asia) Limited 永豐金期貨(亞洲)有限公司
RO 2 26 November 2004 30 October 2009
SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司
RO 1, 4 26 November 2004 30 October 2009
SinoPac Futures (Asia) Limited 永豐金期貨(亞洲)有限公司
RE 2 30 September 2004 26 November 2004
SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司
RE 1 30 September 2004 26 November 2004
Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司
RE 1 17 August 2004 17 August 2004
Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司
RE 1 29 July 2003 17 August 2004
Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司
RE 7 29 July 2003 08 June 2004
Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司
RE 2 01 April 2003 17 August 2004
Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司
RO 1 01 April 2003 17 August 2004
Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司
RO 7 01 April 2003 08 June 2004
Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司
RO 4, 6, 9 01 April 2003 28 July 2003
Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司
RE 5, 9 01 April 2003 28 July 2003