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CHAU Yat Ming, Ellis

周日明
CE AAE435Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CHAU Yat Ming, Ellis (CE number AAE435) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 6 (Corporate finance), Type 7 (Automated trading), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (7)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 6 Advising on Corporate Finance
RA 7 Providing Automated Trading Services
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerGuoyuan Futures (Hong Kong) Limited
國元期貨(香港)有限公司
Responsible OfficerGuoyuan Securities Brokerage (Hong Kong) Limited
國元証券經紀(香港)有限公司

Licence Record (14)

2014-08-05 – present Current
Guoyuan Securities Brokerage (Hong Kong) Limited RO
RA 1 RA 4
2014-08-05 – present Current
Guoyuan Futures (Hong Kong) Limited RO
RA 2 RA 5
2014-06-13 – 2014-08-05
Guoyuan Securities Brokerage (Hong Kong) Limited Rep
RA 1 RA 4
2014-06-13 – 2014-08-05
Guoyuan Futures (Hong Kong) Limited Rep
RA 2 RA 5
2012-08-27 – 2014-05-12
Soochow Securities International Futures Limited RO
RA 2 RA 5
2012-08-21 – 2014-05-12
Soochow Securities International Brokerage Limited RO
RA 1 RA 4
2012-03-30 – 2012-06-21
Ping An Securities (Hong Kong) Futures Company Limited RO
RA 2 RA 5
2011-10-26 – 2012-06-21
Ping An Securities (Hong Kong) Holdings Company Limited RO
RA 1
2011-09-27 – 2011-10-26
Ping An Securities (Hong Kong) Holdings Company Limited Rep
RA 1
2009-10-29 – 2011-04-08
Wintone Securities Limited RO
RA 1 RA 2
2009-10-23 – 2010-01-22
Wintone Securities Limited Rep
RA 1
2003-09-03 – 2009-10-19
Shenwan Hongyuan Futures (H.K.) Limited RO
RA 2
2003-04-01 – 2009-10-19
Shenwan Hongyuan Securities (H.K.) Limited Rep
RA 1 RA 4 RA 6 RA 7 RA 9
2003-04-01 – 2003-09-03
Shenwan Hongyuan Futures (H.K.) Limited Rep
RA 2 RA 5 RA 9

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AAE435