Kai Wing Chau
周啟榮
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kai Wing Chau (周啟榮), a licensed former licensee with CE reference AFS381. This person has 15.7 years of SFC licence history. Total licence records on file: 25.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Quasar Securities Co., Limited 駿昇証券有限公司 |
RO | Type 1 - Dealing in securities | 2020-03-16 | 2021-12-03 |
| Quasar Securities Co., Limited 駿昇証券有限公司 |
Rep | Type 1 - Dealing in securities | 2019-12-04 | 2020-03-16 |
| China Jianxin Financial Services Limited 中國建信金融服務有限公司 |
RO | Type 4 - Advising on securities | 2017-02-28 | 2019-02-28 |
| China Jianxin Financial Services Limited 中國建信金融服務有限公司 |
RO | Type 1 - Dealing in securities | 2016-11-25 | 2019-02-28 |
| China Jianxin Financial Services Limited 中國建信金融服務有限公司 |
Rep | Type 1 - Dealing in securities | 2016-10-04 | 2016-11-25 |
| Minerva Holding Financial Securities Limited 嬴控金融證券有限公司 |
RO | Type 1 - Dealing in securities | 2015-09-15 | 2016-10-03 |
| Minerva Holding Financial Securities Limited 嬴控金融證券有限公司 |
Rep | Type 1 - Dealing in securities | 2015-08-31 | 2015-09-15 |
| China Demeter Securities Limited 國農證券有限公司 |
RO | Type 1 - Dealing in securities | 2012-11-23 | 2014-05-19 |
| China Demeter Securities Limited 國農證券有限公司 |
Rep | Type 1 - Dealing in securities | 2012-10-05 | 2012-11-23 |
| China Gather Wealth Financial Company Limited 中華匯財金融有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-11-11 | 2012-09-30 |
| China Gather Wealth Financial Company Limited 中華匯財金融有限公司 |
RO | Type 2 - Dealing in futures contracts | 2010-12-20 | 2011-11-11 |
| China Gather Wealth Financial Company Limited 中華匯財金融有限公司 |
RO | Type 1 - Dealing in securities | 2009-09-16 | 2012-09-30 |
| China Gather Wealth Financial Company Limited 中華匯財金融有限公司 |
Rep | Type 1 - Dealing in securities | 2009-08-11 | 2009-09-16 |
| China Gather Wealth Financial Company Limited 中華匯財金融有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2009-08-11 | 2010-12-20 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2006-11-23 | 2009-08-01 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2006-08-04 | 2006-11-23 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2006-08-04 | 2009-08-01 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2005-09-21 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2005-09-21 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-06-01 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2004-06-01 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-06-01 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-09-11 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-06-01 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-06-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Kai Wing 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.