Joanna Lai Wa Chu
朱麗華
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Joanna Lai Wa Chu (朱麗華), a licensed former licensee with CE reference ABG737. Total licence records on file: 26.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2019-02-20 | 2019-02-20 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2019-02-20 | 2019-02-20 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 4 — Advising on securities | 2019-02-20 | 2019-02-20 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 5 — Advising on futures contracts | 2019-02-20 | 2019-02-20 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
RO | Type 2 — Dealing in futures contracts | 2011-03-14 | 2019-02-20 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
RO | Type 5 — Advising on futures contracts | 2011-03-14 | 2019-02-20 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
RO | Type 1 — Dealing in securities | 2010-02-26 | 2019-02-20 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
RO | Type 4 — Advising on securities | 2010-02-26 | 2019-02-20 |
| SinoPac Futures (Asia) Limited 永豐金期貨(亞洲)有限公司 |
RO | Type 5 — Advising on futures contracts | 2006-08-16 | 2009-10-30 |
| SinoPac Futures (Asia) Limited 永豐金期貨(亞洲)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2006-06-08 | 2006-08-16 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2004-11-26 | 2009-10-30 |
| SinoPac Futures (Asia) Limited 永豐金期貨(亞洲)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2004-11-26 | 2009-10-30 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
RO | Type 4 — Advising on securities | 2004-11-26 | 2009-10-30 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-09-30 | 2004-11-26 |
| SinoPac Futures (Asia) Limited 永豐金期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-09-30 | 2004-11-26 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-08-17 | 2004-08-17 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2003-07-29 | 2004-08-17 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | 2003-07-29 | 2004-06-08 |
| Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2004-08-17 |
| Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-07-28 |
| Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-07-28 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | present | 2004-08-17 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
RO | Type 4 — Advising on securities | present | 2003-07-28 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2003-07-28 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
RO | Type 7 — Providing automated trading services | present | 2004-06-08 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
RO | Type 9 — Asset management | present | 2003-07-28 |