Siu Ling Chu
朱小玲
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Ling Chu (朱小玲), a licensed former licensee with CE reference ARG250. This person has 11.0 years of SFC licence history. Total licence records on file: 28.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| First Prosperous Capital Company Limited 瀚盛資本有限公司 |
RO | Type 1 - Dealing in securities | 2021-05-10 | 2021-05-26 |
| First Prosperous Asset Management Company Limited 瀚盛資產管理有限公司 |
RO | Type 4 - Advising on securities | 2021-05-10 | 2021-05-26 |
| First Prosperous Asset Management Company Limited 瀚盛資產管理有限公司 |
RO | Type 9 - Asset management | 2021-05-10 | 2021-05-26 |
| ARTE Capital Management Limited 安泰資本管理有限公司 |
RO | Type 4 - Advising on securities | 2020-06-22 | 2021-03-31 |
| ARTE Capital Management Limited 安泰資本管理有限公司 |
RO | Type 9 - Asset management | 2020-06-22 | 2021-03-31 |
| ARTE Capital Management Limited 安泰資本管理有限公司 |
Rep | Type 4 - Advising on securities | 2020-04-02 | 2020-06-22 |
| ARTE Capital Management Limited 安泰資本管理有限公司 |
Rep | Type 9 - Asset management | 2020-04-02 | 2020-06-22 |
| Old Peak Capital Limited 山頂資本有限公司 |
RO | Type 4 - Advising on securities | 2019-04-26 | 2019-11-08 |
| Old Peak Capital Limited 山頂資本有限公司 |
RO | Type 9 - Asset management | 2019-04-26 | 2019-11-08 |
| Old Peak Capital Limited 山頂資本有限公司 |
Rep | Type 4 - Advising on securities | 2019-04-18 | 2019-04-26 |
| Old Peak Capital Limited 山頂資本有限公司 |
Rep | Type 9 - Asset management | 2019-04-18 | 2019-04-26 |
| Qian Long Assets Management Company Limited 乾隆資產管理有限公司 |
RO | Type 4 - Advising on securities | 2018-10-31 | 2019-04-15 |
| Qian Long Assets Management Company Limited 乾隆資產管理有限公司 |
RO | Type 9 - Asset management | 2018-10-31 | 2019-04-15 |
| Zhonghui International Futures Company Limited 中輝國際期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2016-11-04 | 2017-08-11 |
| JS Securities Limited 晉商證券有限公司 |
RO | Type 1 - Dealing in securities | 2016-06-23 | 2017-08-11 |
| JS Securities Limited 晉商證券有限公司 |
RO | Type 4 - Advising on securities | 2016-06-23 | 2017-08-11 |
| Orient Asset Management (Hong Kong) Limited 東方資產管理(香港)有限公司 |
Rep | Type 9 - Asset management | 2015-03-30 | 2016-06-02 |
| Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2013-08-20 | 2016-06-02 |
| Orient Futures (Hong Kong) Limited 東方期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-08-20 | 2016-06-02 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2013-03-05 | 2013-07-15 |
| China Galaxy International Futures (Hong Kong) Co., Limited 中國銀河國際期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-03-05 | 2013-07-15 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
Rep | Type 1 - Dealing in securities | 2010-05-06 | 2013-02-27 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 |
Rep | Type 1 - Dealing in securities | 2010-05-06 | 2011-09-30 |
| SBI China Capital Commodities Limited 軟庫中華金融期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-05-06 | 2013-02-27 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2009-06-10 | 2010-05-01 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2009-06-10 | 2010-05-01 |
| Nerico Brothers Limited | Rep | Type 1 - Dealing in securities | 2008-06-24 | 2009-06-01 |
| Nerico Brothers Limited | Rep | Type 2 - Dealing in futures contracts | 2008-06-24 | 2009-06-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Siu Ling Chu 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.