Ka Siu Chu
朱嘉兆
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Siu Chu (朱嘉兆), a licensed Responsible Officer with CE reference BBK031. Currently licensed at 1 firm(s): China Securities (International) Corporate Finance Company Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 22.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2026-04-13 | present |
| China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司 |
Rep | Type 1 — Dealing in securities | 2025-12-19 | present |
| China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2025-12-19 | 2026-04-13 |
| Shanxi Securities International Capital Limited 山證國際融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2024-08-28 | 2025-11-20 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 1 — Dealing in securities | 2021-06-15 | 2024-04-29 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 4 — Advising on securities | 2021-06-15 | 2024-04-29 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 6 — Advising on corporate finance | 2021-06-15 | 2024-04-29 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 1 — Dealing in securities | 2021-04-30 | 2021-06-15 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 4 — Advising on securities | 2021-04-30 | 2021-06-15 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2021-04-30 | 2021-06-15 |
| Silk Road International Capital Limited 絲路國際資本有限公司 |
RO | Type 1 — Dealing in securities | 2020-05-18 | 2021-04-25 |
| Silk Road International Capital Limited 絲路國際資本有限公司 |
RO | Type 4 — Advising on securities | 2020-05-18 | 2021-04-25 |
| Silk Road International Capital Limited 絲路國際資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2020-05-18 | 2021-04-25 |
| Silk Road International Capital Limited 絲路國際資本有限公司 |
Rep | Type 1 — Dealing in securities | 2020-02-13 | 2020-05-18 |
| Silk Road International Capital Limited 絲路國際資本有限公司 |
Rep | Type 4 — Advising on securities | 2020-02-13 | 2020-05-18 |
| Silk Road International Capital Limited 絲路國際資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2020-02-13 | 2020-05-18 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
Rep | Type 1 — Dealing in securities | 2016-07-13 | 2020-01-12 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-06-20 | 2020-01-12 |
| Haitong International Capital Limited 海通國際資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-09-03 | 2016-05-28 |
| Quam Capital Limited 華富建業企業融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2013-07-26 | 2014-07-23 |
| Platinum Securities Company Limited 百德能證券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-06-11 | 2013-07-18 |
| Platinum Securities Company Limited 百德能證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2013-06-11 | 2013-07-18 |