Wai Ming Chow
周維明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Ming Chow (周維明), a licensed Responsible Officer with CE reference ACT729. Currently licensed at 1 firm(s): Citigroup Global Markets Asia Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2024-04-16 | present |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2024-04-16 | present |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2015-09-09 | 2024-04-16 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-09-09 | 2024-04-16 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2007-06-21 | 2015-06-08 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | 2007-06-21 | 2015-06-08 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2007-05-22 | 2015-06-08 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2007-05-22 | 2015-06-08 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | 2007-05-22 | 2015-06-08 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | 2007-05-22 | 2015-06-08 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-03-27 | 2007-05-21 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-03-27 | 2007-05-21 |
| Rothschild & Co Hong Kong Limited 羅斯柴爾德恩可香港有限公司 |
Rep | Type 1 — Dealing in securities | 2005-04-27 | 2006-02-28 |
| Rothschild & Co Hong Kong Limited 羅斯柴爾德恩可香港有限公司 |
Rep | Type 4 — Advising on securities | 2005-04-27 | 2006-02-28 |
| Rothschild & Co Hong Kong Limited 羅斯柴爾德恩可香港有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-04-27 | 2006-02-28 |