Andrew Chu
朱立年
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Andrew Chu (朱立年), a licensed former licensee with CE reference AAH245. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Roofer Securities Limited 路華證券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-05-05 | 2021-11-22 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2012-12-03 | 2014-04-01 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-12-03 | 2014-04-01 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2012-12-03 | 2014-04-01 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2012-11-01 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2012-11-01 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | present | 2012-11-01 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-08-04 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-08-04 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-08-04 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-09-02 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2004-08-04 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2004-08-04 |