Ellis Yat Ming Chau
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ellis Yat Ming Chau (周日明), a licensed Responsible Officer with CE reference AAE435. Currently licensed at 2 firm(s): Guoyuan Securities Brokerage (Hong Kong) Limited, Guoyuan Futures (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities; Type 5 - Advising on futures contracts. This person has 22.7 years of SFC licence history. Total licence records on file: 28.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2014-08-05 | present |
| Guoyuan Futures (Hong Kong) Limited 國元期貨(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2014-08-05 | present |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
RO | Type 4 - Advising on securities | 2014-08-05 | present |
| Guoyuan Futures (Hong Kong) Limited 國元期貨(香港)有限公司 |
RO | Type 5 - Advising on futures contracts | 2014-08-05 | present |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-06-13 | 2014-08-05 |
| Guoyuan Futures (Hong Kong) Limited 國元期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2014-06-13 | 2014-08-05 |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2014-06-13 | 2014-08-05 |
| Guoyuan Futures (Hong Kong) Limited 國元期貨(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | 2014-06-13 | 2014-08-05 |
| Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司 |
RO | Type 4 - Advising on securities | 2013-03-05 | 2014-05-12 |
| Soochow Securities International Futures Limited 東吳證券國際期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2012-08-27 | 2014-05-12 |
| Soochow Securities International Futures Limited 東吳證券國際期貨有限公司 |
RO | Type 5 - Advising on futures contracts | 2012-08-27 | 2014-05-12 |
| Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司 |
RO | Type 1 - Dealing in securities | 2012-08-21 | 2014-05-12 |
| Ping An Securities (Hong Kong) Futures Company Limited 平安證券（香港）期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2012-03-30 | 2012-06-21 |
| Ping An Securities (Hong Kong) Futures Company Limited 平安證券（香港）期貨有限公司 |
RO | Type 5 - Advising on futures contracts | 2012-03-30 | 2012-06-21 |
| Ping An Securities (Hong Kong) Holdings Company Limited 平安證券(香港)控股有限公司 |
RO | Type 1 - Dealing in securities | 2011-10-26 | 2012-06-21 |
| Ping An Securities (Hong Kong) Holdings Company Limited 平安證券(香港)控股有限公司 |
Rep | Type 1 - Dealing in securities | 2011-09-27 | 2011-10-26 |
| Wintone Securities Limited 榮通證券有限公司 |
RO | Type 1 - Dealing in securities | 2010-01-22 | 2011-04-08 |
| Wintone Securities Limited 榮通證券有限公司 |
RO | Type 2 - Dealing in futures contracts | 2009-10-29 | 2011-04-08 |
| Wintone Securities Limited 榮通證券有限公司 |
Rep | Type 1 - Dealing in securities | 2009-10-23 | 2010-01-22 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2003-09-03 | 2009-10-19 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2009-10-19 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2003-09-03 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-09-02 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2003-09-02 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-09-02 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-09-02 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-09-02 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-09-02 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ellis Yat Ming Chau during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.