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. This person has 10.1 years of SFC licence history. Total licence records on file: 22.
Information
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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 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ling 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.