SFC Licences of CHAU Yiu Man, Kenneth 周耀文

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

Institution Role Licences Start date End date
SBI Securities (Hong Kong) Limited 思佰益證券(香港)有限公司
RO 4 12 September 2018
SBI Securities (Hong Kong) Limited 思佰益證券(香港)有限公司
RO 1 21 March 2016
SBI Securities (Hong Kong) Limited 思佰益證券(香港)有限公司
RE 1 18 January 2016 21 March 2016
Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司
RO 1, 2, 4, 5 10 July 2013 18 September 2015
Bright Smart Futures & Commodities Company Limited 耀才期貨及商品有限公司
RE 2 20 January 2012 27 May 2013
Bright Smart Securities International (H.K.) Limited 耀才證券國際(香港)有限公司
RE 1 20 January 2012 27 May 2013
Barclays Capital Asia Limited 巴克萊亞洲有限公司
RE 1, 2 07 December 2009 17 August 2011
Nomura Futures (Hong Kong) Limited
RE 2 28 November 2008 29 October 2009
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司
RE 1, 2 10 October 2008 29 October 2009
Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司
RE 1 21 May 2008 29 September 2008
Lehman Brothers Futures Asia Limited
RE 2 10 April 2008 29 September 2008
Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司
RE 1, 2 10 April 2008 29 September 2008
Morgan Stanley Hong Kong Securities Limited
RE 1 17 May 2006 11 March 2008
Morgan Stanley Hong Kong Futures Limited
RE 2, 7 10 October 2005 11 March 2008
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司
RE 1, 7 10 October 2005 11 March 2008
Deutsche Securities Asia Limited 德意志證券亞洲有限公司
RE 1 01 April 2003 30 August 2005
Deutsche Securities Asia Limited 德意志證券亞洲有限公司
RE 4 01 April 2003 17 April 2004
Deutsche Securities Asia Limited 德意志證券亞洲有限公司
RE 6, 9 01 April 2003 08 January 2004