Steven Pat Ngao Chiu
趙不傲
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Steven Pat Ngao Chiu (趙不傲), CE reference ADH952. Currently licensed at 1 firm(s): China Galaxy International Securities (Hong Kong) Co., Limited. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2012-09-24 | present |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2012-09-24 | present |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2012-09-24 | present |
| 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 | 2012-09-17 | 2012-09-24 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2012-09-17 | 2012-09-24 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2012-09-17 | 2012-09-24 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 1 — Dealing in securities | 2011-09-14 | 2012-09-14 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 4 — Advising on securities | 2011-09-14 | 2012-09-14 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2011-09-14 | 2012-09-14 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2010-04-27 | 2011-09-13 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
RO | Type 6 — Advising on corporate finance | 2010-04-27 | 2011-09-13 |
| Piper Jaffray Asia Limited 派杰亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-11-14 |
| Piper Jaffray Asia Limited 派杰亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2009-04-01 |
| Piper Jaffray Asia Limited 派杰亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2003-11-14 |