SFC Licences of CHAU Shamrock Roy 周尚立

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

Institution Role Licences Start date End date
Huarong International Capital Limited 華融國際融資有限公司 RO 6 19 July 2021
Huarong International Securities Limited 華融國際證券有限公司 RO 1 19 July 2021
Huarong International Capital Limited 華融國際融資有限公司 RO 1 19 July 2021
Huarong International Capital Limited 華融國際融資有限公司 RE 6 27 April 2021 19 July 2021
Huarong International Securities Limited 華融國際證券有限公司 RE 1 27 April 2021 19 July 2021
Huarong International Capital Limited 華融國際融資有限公司 RE 1 27 April 2021 19 July 2021
Innovax Capital Limited 創陞融資有限公司 RO 6 11 December 2020 05 February 2021
Innovax Capital Limited 創陞融資有限公司 RO 1 11 December 2020 05 February 2021
Innovax Capital Limited 創陞融資有限公司 RE 1 07 October 2020 11 December 2020
Innovax Capital Limited 創陞融資有限公司 RE 6 07 October 2020 11 December 2020
Sinolink Securities (Hong Kong) Company Limited 國金證券(香港)有限公司 RO 6 21 August 2017 07 July 2020
Sinolink Securities (Hong Kong) Company Limited 國金證券(香港)有限公司 RE 1 21 August 2017 07 July 2020
China Everbright Capital Limited 中國光大融資有限公司 RE 1 09 July 2014 09 May 2017
China Everbright Capital Limited 中國光大融資有限公司 RO 6 12 May 2014 09 May 2017
China Everbright Capital Limited 中國光大融資有限公司 RE 6 12 August 2013 12 May 2014
First Shanghai Capital Limited 第一上海融資有限公司 RE 6 18 March 2011 19 June 2013
Mason Securities Limited 茂宸證券有限公司 RE 6 04 June 2008 20 March 2009
Mason Securities Limited 茂宸證券有限公司 RE 1 04 June 2008 20 March 2009
Everbright Securities Global (HK) Limited 光大證券環球(香港)有限公司 RE 1 03 February 2005 18 July 2005
Everbright Securities Global (HK) Limited 光大證券環球(香港)有限公司 RE 6 01 April 2003 18 July 2005
Everbright Securities Global (HK) Limited 光大證券環球(香港)有限公司 RE 4 01 April 2003 09 January 2004
Everbright Securities Global (HK) Limited 光大證券環球(香港)有限公司 RE 9 01 April 2003 09 January 2004