Hin Fung Sherman Chiu
趙衍鋒
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Hin Fung Sherman Chiu (趙衍鋒), a licensed Responsible Officer with CE reference ALL685. Currently licensed at 2 firm(s): First Securities (HK) Limited, First Global Corporate Finance Co., Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 34.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| First Securities (HK) Limited 第一證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2025-07-10 | present |
| First Global Corporate Finance Co., Limited 第一瑞興企業融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2024-08-27 | present |
| First Securities (HK) Limited 第一證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2025-02-26 | 2025-07-10 |
| First Global Corporate Finance Co., Limited 第一瑞興企業融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2024-06-26 | 2024-08-27 |
| China Sunrise Securities (International) Limited 華升證券(國際)有限公司 |
RO | Type 1 — Dealing in securities | 2023-10-30 | 2024-03-15 |
| China Sunrise Capital Limited 華升資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2023-10-30 | 2024-03-15 |
| China Sunrise Securities (International) Limited 華升證券(國際)有限公司 |
Rep | Type 1 — Dealing in securities | 2023-03-16 | 2023-10-30 |
| China Sunrise Capital Limited 華升資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2023-03-16 | 2023-10-30 |
| Greencourt Financial Co., Limited 綠庭金融有限公司 |
RO | Type 1 — Dealing in securities | 2022-11-23 | 2023-02-23 |
| First Global Corporate Finance Co., Limited 第一瑞興企業融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2022-11-23 | 2023-02-23 |
| Greencourt Financial Co., Limited 綠庭金融有限公司 |
Rep | Type 1 — Dealing in securities | 2022-08-16 | 2022-11-23 |
| First Global Corporate Finance Co., Limited 第一瑞興企業融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2022-08-16 | 2022-11-23 |
| Apricot Capital (Hong Kong) Limited 金杏資本(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2022-05-23 | 2022-08-01 |
| WRise Capital Limited 昇世資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2022-05-23 | 2022-08-01 |
| Quam Securities Limited 華富建業證券有限公司 |
RO | Type 6 — Advising on corporate finance | 2017-05-10 | 2022-03-03 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-06-26 | 2017-05-10 |
| Quam Securities Limited 華富建業證券有限公司 |
RO | Type 1 — Dealing in securities | 2014-04-24 | 2022-03-03 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-04-17 | 2014-04-24 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
RO | Type 1 — Dealing in securities | 2012-06-21 | 2014-03-27 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
Rep | Type 1 — Dealing in securities | 2012-05-07 | 2012-06-21 |
| Central China International Capital Limited 中州國際融資有限公司 |
RO | Type 1 — Dealing in securities | 2011-08-24 | 2012-04-27 |
| Central China International Capital Limited 中州國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2011-05-04 | 2011-08-24 |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-11-26 | 2011-04-22 |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2010-11-26 | 2011-04-22 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-05-19 | 2010-11-01 |
| Celestial Capital Limited 時富融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-05-19 | 2010-11-01 |
| KGI Capital Asia Limited 凱基金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-01-22 | 2010-05-09 |
| KGI Capital Asia Limited 凱基金融亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2010-01-22 | 2010-05-09 |
| KGI Capital Asia Limited 凱基金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-01-22 | 2010-05-09 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-11-02 | 2010-04-01 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
Rep | Type 1 — Dealing in securities | 2005-10-25 | 2010-05-09 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
Rep | Type 4 — Advising on securities | 2005-10-25 | 2010-05-09 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2004-11-25 | 2005-10-08 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2004-11-25 | 2005-10-08 |