SFC Licences of CHOW Shu Lai 鄒樹禮

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

Institution Role Licences Start date End date
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 RO 5 30 December 2011 01 July 2013
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 RO 2 30 December 2011 01 July 2013
KGI Asia Limited 凱基證券亞洲有限公司 RO 4 30 December 2011 01 July 2013
KGI Asia Limited 凱基證券亞洲有限公司 RO 1 30 December 2011 01 July 2013
KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 RO 1 30 December 2011 01 July 2013
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 RE 5 09 November 2011 30 December 2011
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 RE 2 09 November 2011 30 December 2011
KGI Asia Limited 凱基證券亞洲有限公司 RE 4 09 November 2011 30 December 2011
KGI Asia Limited 凱基證券亞洲有限公司 RE 1 09 November 2011 30 December 2011
KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 RE 1 09 November 2011 30 December 2011
CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 RO 2 04 November 2010 15 September 2011
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RO 1 18 January 2010 15 September 2011
CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 RE 2 10 June 2004 04 November 2010
CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 RO 2 24 July 2003 10 June 2004
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RE 1 01 April 2003 18 January 2010
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RE 4 01 April 2003 29 January 2008
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RE 9 01 April 2003 24 April 2006
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RE 7 01 April 2003 11 March 2004
CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 RE 2 01 April 2003 24 July 2003
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RE 6 01 April 2003 25 June 2003