Shamrock Roy Chau
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shamrock Roy Chau (周尚立), a licensed Responsible Officer with CE reference AEO767. Currently licensed at 2 firm(s): GF Securities (Hong Kong) Brokerage Limited, GF Capital (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 6 - Advising on corporate finance. This person has 17.4 years of SFC licence history. Total licence records on file: 30.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 |
RO | Type 1 - Dealing in securities | 2026-06-29 | present |
| GF Capital (Hong Kong) Limited 廣發融資(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2026-06-29 | present |
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2026-06-17 | 2026-06-29 |
| GF Capital (Hong Kong) Limited 廣發融資(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2026-06-17 | 2026-06-29 |
| Innovax Capital Limited 創陞融資有限公司 |
RO | Type 1 - Dealing in securities | 2023-02-22 | 2026-05-04 |
| Innovax Capital Limited 創陞融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2023-02-22 | 2026-05-04 |
| Innovax Capital Limited 創陞融資有限公司 |
Rep | Type 1 - Dealing in securities | 2022-10-18 | 2023-02-22 |
| Innovax Capital Limited 創陞融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2022-10-18 | 2023-02-22 |
| XinKong International Capital Limited 信控國際融資有限公司 |
RO | Type 1 - Dealing in securities | 2021-07-19 | 2022-09-30 |
| XinKong International Securities Limited 信控國際證券有限公司 |
RO | Type 1 - Dealing in securities | 2021-07-19 | 2022-09-30 |
| XinKong International Capital Limited 信控國際融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2021-07-19 | 2022-09-30 |
| XinKong International Capital Limited 信控國際融資有限公司 |
Rep | Type 1 - Dealing in securities | 2021-04-27 | 2021-07-19 |
| XinKong International Securities Limited 信控國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2021-04-27 | 2021-07-19 |
| XinKong International Capital Limited 信控國際融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2021-04-27 | 2021-07-19 |
| Innovax Capital Limited 創陞融資有限公司 |
RO | Type 1 - Dealing in securities | 2020-12-11 | 2021-02-05 |
| Innovax Capital Limited 創陞融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2020-12-11 | 2021-02-05 |
| Innovax Capital Limited 創陞融資有限公司 |
Rep | Type 1 - Dealing in securities | 2020-10-07 | 2020-12-11 |
| Innovax Capital Limited 創陞融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2020-10-07 | 2020-12-11 |
| Sinolink Securities (Hong Kong) Company Limited 國金證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2017-08-21 | 2020-07-07 |
| Sinolink Securities (Hong Kong) Company Limited 國金證券(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2017-08-21 | 2020-07-07 |
| China Everbright Capital Limited 中國光大融資有限公司 |
Rep | Type 1 - Dealing in securities | 2014-07-09 | 2017-05-09 |
| China Everbright Capital Limited 中國光大融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2014-05-12 | 2017-05-09 |
| China Everbright Capital Limited 中國光大融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2013-08-12 | 2014-05-12 |
| First Shanghai Capital Limited 第一上海融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-03-18 | 2013-06-19 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 1 - Dealing in securities | 2008-06-04 | 2009-03-20 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 6 - Advising on corporate finance | 2008-06-04 | 2009-03-20 |
| Everbright Securities Global (HK) Limited 光大證券環球（香港）有限公司 |
Rep | Type 1 - Dealing in securities | 2005-02-03 | 2005-07-18 |
| Everbright Securities Global (HK) Limited 光大證券環球（香港）有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-01-09 |
| Everbright Securities Global (HK) Limited 光大證券環球（香港）有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2005-07-18 |
| Everbright Securities Global (HK) Limited 光大證券環球（香港）有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-01-09 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Shamrock Roy Chau 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.