SFC Licences of CHU Siu Ling 朱小玲

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

Institution	Role	Licences	Start date	End date
First Prosperous Capital Company Limited 瀚盛資本有限公司	RO	1	10 May 2021	26 May 2021
First Prosperous Asset Management Company Limited 瀚盛資產管理有限公司	RO	9	10 May 2021	26 May 2021
First Prosperous Asset Management Company Limited 瀚盛資產管理有限公司	RO	4	10 May 2021	26 May 2021
ARTE Capital Management Limited	RO	9	22 June 2020	31 March 2021
ARTE Capital Management Limited	RO	4	22 June 2020	31 March 2021
ARTE Capital Management Limited	RE	9	02 April 2020	22 June 2020
ARTE Capital Management Limited	RE	4	02 April 2020	22 June 2020
Old Peak Capital Limited 山頂資本有限公司	RO	9	26 April 2019	08 November 2019
Old Peak Capital Limited 山頂資本有限公司	RO	4	26 April 2019	08 November 2019
Old Peak Capital Limited 山頂資本有限公司	RE	9	18 April 2019	26 April 2019
Old Peak Capital Limited 山頂資本有限公司	RE	4	18 April 2019	26 April 2019
Qian Long Assets Management Company Limited 乾隆資產管理有限公司	RO	9	31 October 2018	15 April 2019
Qian Long Assets Management Company Limited 乾隆資產管理有限公司	RO	4	31 October 2018	15 April 2019
Zhonghui International Futures Company Limited 中輝國際期貨有限公司	RO	2	04 November 2016	11 August 2017
JS Securities Limited 晉商證券有限公司	RO	4	23 June 2016	11 August 2017
JS Securities Limited 晉商證券有限公司	RO	1	23 June 2016	11 August 2017
Orient Asset Management (Hong Kong) Limited 東方資產管理(香港)有限公司	RE	9	30 March 2015	02 June 2016
Orient Futures (Hong Kong) Limited 東方期貨(香港)有限公司	RE	2	20 August 2013	02 June 2016
Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司	RE	1	20 August 2013	02 June 2016
China Galaxy International Futures (Hong Kong) Co., Limited 中國銀河國際期貨(香港)有限公司	RE	2	05 March 2013	15 July 2013
China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司	RE	1	05 March 2013	15 July 2013
SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司	RE	1	06 May 2010	27 February 2013
SBI China Capital Commodities Limited 軟庫中華金融期貨有限公司	RE	2	06 May 2010	27 February 2013
SBI China Capital Securities Limited 軟庫中華金融證券有限公司	RE	1	06 May 2010	30 September 2011
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司	RE	1	10 June 2009	01 May 2010
Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司	RE	2	10 June 2009	01 May 2010
Nerico Brothers Limited	RE	1	24 June 2008	01 June 2009
Nerico Brothers Limited	RE	2	24 June 2008	01 June 2009