Ling Chau
周凌
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ling Chau (周凌), a licensed Responsible Officer with CE reference ANU529. Currently licensed at 1 firm(s): IMO Asset Management Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 22.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| IMO Asset Management Limited | RO | Type 4 — Advising on securities | 2023-11-14 | present |
| IMO Asset Management Limited | RO | Type 9 — Asset management | 2023-11-14 | present |
| IMO Asset Management Limited | Rep | Type 4 — Advising on securities | 2023-09-14 | 2023-11-14 |
| IMO Asset Management Limited | Rep | Type 9 — Asset management | 2023-09-14 | 2023-11-14 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2016-07-05 | 2016-12-12 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-07-05 | 2016-12-12 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2016-07-05 | 2016-12-12 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2011-08-29 | 2014-02-05 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-08-29 | 2014-02-05 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2011-08-29 | 2014-02-05 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2011-08-29 | 2014-02-05 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2010-02-04 | 2011-07-07 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-02-29 | 2011-07-07 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-02-29 | 2011-07-07 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-02-29 | 2010-02-19 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-03-05 | 2008-02-18 |
| China Everbright Forex & Futures (HK) Limited 中國光大外匯、期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-02-12 | 2008-02-18 |
| China Everbright Forex & Futures (HK) Limited 中國光大外匯、期貨(香港)有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2007-02-12 | 2008-02-18 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-01-23 | 2007-01-31 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2007-01-23 | 2007-01-31 |
| Emperor Futures Limited 英皇期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-12-15 | 2007-01-01 |
| Emperor International Exchange (Hong Kong) Company Limited 英皇金融集團(香港)有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2006-12-15 | 2007-01-01 |