Ernest Sai Hung Chow
周世雄
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ernest Sai Hung Chow (周世雄), a licensed former licensee with CE reference AOQ965. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Roctec Securities Company Limited 鷹達證券有限公司 |
Rep | Type 1 — Dealing in securities | 2020-12-07 | 2022-11-30 |
| Roctec Securities Company Limited 鷹達證券有限公司 |
Rep | Type 4 — Advising on securities | 2020-12-07 | 2022-11-30 |
| Sunfund Securities Limited 東皓證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-11-01 | 2020-05-31 |
| Sunfund Securities Limited 東皓證券有限公司 |
RO | Type 4 — Advising on securities | 2018-11-01 | 2020-05-31 |
| Golden Lake Capital Limited 金湖資本集團有限公司 |
RO | Type 1 — Dealing in securities | 2018-07-09 | 2018-10-09 |
| Golden Lake Capital Limited 金湖資本集團有限公司 |
RO | Type 4 — Advising on securities | 2018-07-09 | 2018-10-09 |
| Golden Lake Capital Limited 金湖資本集團有限公司 |
Rep | Type 1 — Dealing in securities | 2018-05-04 | 2018-07-09 |
| Golden Lake Capital Limited 金湖資本集團有限公司 |
Rep | Type 4 — Advising on securities | 2018-05-04 | 2018-07-09 |
| Vision Finance (Securities) Limited 匯金(證券)有限公司 |
RO | Type 1 — Dealing in securities | 2016-06-08 | 2017-11-07 |
| Vision Finance (Securities) Limited 匯金(證券)有限公司 |
RO | Type 4 — Advising on securities | 2016-06-08 | 2017-11-07 |
| Vision Finance (Securities) Limited 匯金(證券)有限公司 |
Rep | Type 1 — Dealing in securities | 2016-03-03 | 2016-06-08 |
| Vision Finance (Securities) Limited 匯金(證券)有限公司 |
Rep | Type 4 — Advising on securities | 2016-03-03 | 2016-06-08 |
| Ayers Alliance Securities (HK) Limited 澳豐証券香港有限公司 |
Rep | Type 1 — Dealing in securities | 2014-09-30 | 2016-01-11 |
| Ayers Alliance Securities (HK) Limited 澳豐証券香港有限公司 |
Rep | Type 4 — Advising on securities | 2014-09-30 | 2016-01-11 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-03-03 | 2014-07-20 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 4 — Advising on securities | 2014-03-03 | 2014-07-20 |