Lap Yan Chu
朱立仁
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lap Yan Chu (朱立仁), a licensed former licensee with CE reference AAI485. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2014-09-29 | 2020-11-20 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
RO | Type 1 — Dealing in securities | 2013-05-21 | 2020-11-20 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2007-09-19 | 2013-05-21 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2014-09-29 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-02-20 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 9 — Asset management | present | 2004-02-20 |