Lindsay Li-Shen Chu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lindsay Li-Shen Chu, a licensed Responsible Officer with CE reference AZH660. Currently licensed at 1 firm(s): DBS Asia Capital Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. This person has 13.8 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 1 - Dealing in securities | 2022-10-18 | present |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 4 - Advising on securities | 2022-10-18 | present |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2022-10-18 | present |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2015-06-01 | 2022-06-06 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2015-06-01 | 2022-06-06 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2015-06-01 | 2022-06-06 |
| HSBC Corporate Finance (Hong Kong) Limited | Rep | Type 6 - Advising on corporate finance | 2012-04-20 | 2015-04-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Lindsay Li-Shen 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.