Shamrock Roy Chau
周尚立
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shamrock Roy Chau (周尚立), a licensed former licensee with CE reference AEO767. Total licence records on file: 26.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Innovax Capital Limited 創陞融資有限公司 |
RO | Type 1 — Dealing in securities | 2023-02-22 | 2026-05-04 |
| Innovax Capital Limited 創陞融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2023-02-22 | 2026-05-04 |
| Innovax Capital Limited 創陞融資有限公司 |
Rep | Type 1 — Dealing in securities | 2022-10-18 | 2023-02-22 |
| Innovax Capital Limited 創陞融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2022-10-18 | 2023-02-22 |
| XinKong International Capital Limited 信控國際融資有限公司 |
RO | Type 1 — Dealing in securities | 2021-07-19 | 2022-09-30 |
| XinKong International Securities Limited 信控國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2021-07-19 | 2022-09-30 |
| XinKong International Capital Limited 信控國際融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2021-07-19 | 2022-09-30 |
| XinKong International Capital Limited 信控國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2021-04-27 | 2021-07-19 |
| XinKong International Securities Limited 信控國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2021-04-27 | 2021-07-19 |
| XinKong International Capital Limited 信控國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2021-04-27 | 2021-07-19 |
| Innovax Capital Limited 創陞融資有限公司 |
RO | Type 1 — Dealing in securities | 2020-12-11 | 2021-02-05 |
| Innovax Capital Limited 創陞融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2020-12-11 | 2021-02-05 |
| Innovax Capital Limited 創陞融資有限公司 |
Rep | Type 1 — Dealing in securities | 2020-10-07 | 2020-12-11 |
| Innovax Capital Limited 創陞融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2020-10-07 | 2020-12-11 |
| Sinolink Securities (Hong Kong) Company Limited 國金證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-08-21 | 2020-07-07 |
| Sinolink Securities (Hong Kong) Company Limited 國金證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2017-08-21 | 2020-07-07 |
| China Everbright Capital Limited 中國光大融資有限公司 |
Rep | Type 1 — Dealing in securities | 2014-07-09 | 2017-05-09 |
| China Everbright Capital Limited 中國光大融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2014-05-12 | 2017-05-09 |
| China Everbright Capital Limited 中國光大融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2013-08-12 | 2014-05-12 |
| First Shanghai Capital Limited 第一上海融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-03-18 | 2013-06-19 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 1 — Dealing in securities | 2008-06-04 | 2009-03-20 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-06-04 | 2009-03-20 |
| Everbright Securities Global (HK) Limited 光大證券環球（香港）有限公司 |
Rep | Type 1 — Dealing in securities | 2005-02-03 | 2005-07-18 |
| Everbright Securities Global (HK) Limited 光大證券環球（香港）有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-01-09 |
| Everbright Securities Global (HK) Limited 光大證券環球（香港）有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2005-07-18 |
| Everbright Securities Global (HK) Limited 光大證券環球（香港）有限公司 |
Rep | Type 9 — Asset management | present | 2004-01-09 |