Shu Lai Chow
鄒樹禮
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shu Lai Chow (鄒樹禮), a licensed former licensee with CE reference AEC904. Total licence records on file: 20.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KGI Asia Limited 凱基證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2011-12-30 | 2013-07-01 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2011-12-30 | 2013-07-01 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2011-12-30 | 2013-07-01 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
RO | Type 4 — Advising on securities | 2011-12-30 | 2013-07-01 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | 2011-12-30 | 2013-07-01 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-11-09 | 2011-12-30 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-11-09 | 2011-12-30 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-11-09 | 2011-12-30 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2011-11-09 | 2011-12-30 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2011-11-09 | 2011-12-30 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2010-11-04 | 2011-09-15 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2010-01-18 | 2011-09-15 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-06-10 | 2010-11-04 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2003-07-24 | 2004-06-10 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2010-01-18 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2003-07-24 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2008-01-29 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-06-25 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2004-03-11 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2006-04-24 |