Ellis Yat Ming Chau
周日明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ellis Yat Ming Chau (周日明), a licensed Responsible Officer with CE reference AAE435. Currently licensed at 2 firm(s): Guoyuan Securities Brokerage (Hong Kong) Limited, Guoyuan Futures (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities; Type 5 — Advising on futures contracts. Total licence records on file: 28.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →More firms doing Advising on futures contracts →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2014-08-05 | present |
| Guoyuan Futures (Hong Kong) Limited 國元期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2014-08-05 | present |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
RO | Type 4 — Advising on securities | 2014-08-05 | present |
| Guoyuan Futures (Hong Kong) Limited 國元期貨(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | 2014-08-05 | present |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-06-13 | 2014-08-05 |
| Guoyuan Futures (Hong Kong) Limited 國元期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-06-13 | 2014-08-05 |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2014-06-13 | 2014-08-05 |
| Guoyuan Futures (Hong Kong) Limited 國元期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2014-06-13 | 2014-08-05 |
| Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司 |
RO | Type 4 — Advising on securities | 2013-03-05 | 2014-05-12 |
| Soochow Securities International Futures Limited 東吳證券國際期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2012-08-27 | 2014-05-12 |
| Soochow Securities International Futures Limited 東吳證券國際期貨有限公司 |
RO | Type 5 — Advising on futures contracts | 2012-08-27 | 2014-05-12 |
| Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司 |
RO | Type 1 — Dealing in securities | 2012-08-21 | 2014-05-12 |
| Ping An Securities (Hong Kong) Futures Company Limited 平安證券（香港）期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2012-03-30 | 2012-06-21 |
| Ping An Securities (Hong Kong) Futures Company Limited 平安證券（香港）期貨有限公司 |
RO | Type 5 — Advising on futures contracts | 2012-03-30 | 2012-06-21 |
| Ping An Securities (Hong Kong) Holdings Company Limited 平安證券(香港)控股有限公司 |
RO | Type 1 — Dealing in securities | 2011-10-26 | 2012-06-21 |
| Ping An Securities (Hong Kong) Holdings Company Limited 平安證券(香港)控股有限公司 |
Rep | Type 1 — Dealing in securities | 2011-09-27 | 2011-10-26 |
| Wintone Securities Limited 榮通證券有限公司 |
RO | Type 1 — Dealing in securities | 2010-01-22 | 2011-04-08 |
| Wintone Securities Limited 榮通證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2009-10-29 | 2011-04-08 |
| Wintone Securities Limited 榮通證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-10-23 | 2010-01-22 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2003-09-03 | 2009-10-19 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2009-10-19 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2003-09-03 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-09-02 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-09-02 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-09-02 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-09-02 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-09-02 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-09-02 |