Patrick Pak Ning Chu
朱柏寧
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Patrick Pak Ning Chu (朱柏寧), a licensed Responsible Officer with CE reference AEN687. Currently licensed at 1 firm(s): J.P. Morgan Broking (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; Type 7 — Providing automated trading services. Total licence records on file: 19.
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 →More firms doing Providing automated trading services →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2025-09-17 | present |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2025-09-17 | present |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2022-06-29 | present |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2022-06-29 | present |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 7 — Providing automated trading services | 2022-06-29 | present |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2019-12-30 | 2022-06-29 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2019-12-30 | 2022-06-29 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | 2019-12-30 | 2022-06-29 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2012-04-13 | 2016-10-11 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2012-04-13 | 2025-09-17 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2012-04-13 | 2016-10-11 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2012-04-13 | 2025-09-17 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2010-08-04 | 2012-02-16 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-08-04 | 2012-02-16 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2005-05-09 | 2010-04-24 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2005-04-20 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-03-18 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-03-18 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-03-18 |