Lindsay Li-Shen Chu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lindsay Li-Shen Chu, CE reference AZH660. Currently licensed at 1 firm(s): DBS Asia Capital Limited. Total licence records on file: 7.
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 |