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. This person has 15.5 years of SFC licence history. Total licence records on file: 26.
Information
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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 | Pre-2003 | 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 | Pre-2003 | 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 | Pre-2003 | 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 | Pre-2003 | 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 | Pre-2003 | 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 | Pre-2003 | 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 | Pre-2003 | 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 | Pre-2003 | 2003-07-28 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Joanna Lai Wa 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.