Tai Wai Chu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tai Wai Chu (朱大衛), a licensed Responsible Officer with CE reference ANW529. Currently licensed at 1 firm(s): Alliance Partners Capital Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 19.0 years of SFC licence history. Total licence records on file: 18.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Alliance Partners Capital Limited 聯德資本有限公司 |
RO | Type 1 - Dealing in securities | 2024-12-23 | present |
| Alliance Partners Capital Limited 聯德資本有限公司 |
RO | Type 4 - Advising on securities | 2024-12-23 | present |
| Alliance Partners Capital Limited 聯德資本有限公司 |
RO | Type 9 - Asset management | 2024-12-23 | present |
| Marlin Capital Limited 馬林資本有限公司 |
RO | Type 1 - Dealing in securities | 2023-08-16 | 2024-06-30 |
| Marlin Capital Limited 馬林資本有限公司 |
RO | Type 4 - Advising on securities | 2023-08-16 | 2024-06-30 |
| Marlin Capital Limited 馬林資本有限公司 |
RO | Type 9 - Asset management | 2023-08-16 | 2024-06-30 |
| SunRiver International Securities Group Limited 淞港國際證券集團有限公司 |
RO | Type 1 - Dealing in securities | 2021-01-05 | 2023-08-10 |
| SunRiver International Securities Group Limited 淞港國際證券集團有限公司 |
RO | Type 4 - Advising on securities | 2021-01-05 | 2023-08-10 |
| SunRiver International Securities Group Limited 淞港國際證券集團有限公司 |
RO | Type 9 - Asset management | 2021-01-05 | 2023-08-10 |
| Alpha Win Capital Limited 中源國際資本有限公司 |
RO | Type 1 - Dealing in securities | 2019-03-06 | 2020-11-21 |
| Alpha Win Capital Limited 中源國際資本有限公司 |
RO | Type 4 - Advising on securities | 2019-03-06 | 2020-11-21 |
| Alpha Win Capital Limited 中源國際資本有限公司 |
RO | Type 9 - Asset management | 2019-03-06 | 2020-11-21 |
| Phillip Capital Management (HK) Limited 輝立資本管理(香港)有限公司 |
Rep | Type 9 - Asset management | 2012-07-03 | 2016-07-08 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2007-05-02 | 2019-02-28 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 9 - Asset management | 2007-03-30 | 2012-06-30 |
| iBest Consultants Limited | Rep | Type 9 - Asset management | 2006-12-29 | 2007-03-16 |
| iBest Consultants Limited | Rep | Type 4 - Advising on securities | 2006-11-29 | 2007-03-16 |
| Lion Global Financial Limited 獅瀚環球金融有限公司 |
Rep | Type 4 - Advising on securities | 2006-10-10 | 2006-11-20 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Tai Wai 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.