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CHAU Chung Yin, Samiel

周中彥
CE AAV692Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CHAU Chung Yin, Samiel (CE number AAV692) 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 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (6)

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 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerCNI Securities Group Limited
中國北方證券集團有限公司
RepresentativeCNI Global Assets Management Limited
中國北方環球資產管理有限公司

Licence Record (22)

2022-11-08 – present Current
CNI Global Assets Management Limited Rep
RA 9
2021-08-10 – present Current
CNI Securities Group Limited RO
RA 1 RA 2 RA 4
2021-10-06 – 2022-11-08
CNI Global Assets Management Limited RO
RA 9
2021-06-09 – 2021-08-10
CNI Securities Group Limited Rep
RA 1 RA 2
2021-01-20 – 2021-05-05
Huajin Futures (International) Limited Rep
RA 2
2020-11-30 – 2021-05-05
Huajin Securities (International) Limited Rep
RA 1
2016-11-10 – 2020-10-31
DaoKou Asset Management Limited RO
RA 4
2014-06-27 – 2020-10-31
DaoKou Securities Limited RO
RA 1 RA 2
2014-06-23 – 2014-06-27
DaoKou Securities Limited Rep
RA 1
2013-02-22 – 2014-06-18
China Finance Holdings Limited RO
RA 1
2013-02-22 – 2014-06-18
Finet Securities Limited RO
RA 1 RA 2
2012-12-06 – 2013-02-01
Well Link Securities Limited RO
RA 1 RA 2
2011-01-11 – 2012-10-10
Tiger Securities Asset Management Company Limited RO
RA 1
2011-01-03 – 2011-01-11
Tiger Securities Asset Management Company Limited Rep
RA 1
2010-08-19 – 2011-01-01
ASA Securities Limited RO
RA 1 RA 2
2008-07-22 – 2009-10-14
Bright Smart Securities International (H.K.) Limited RO
RA 1 RA 4
2008-07-22 – 2009-10-14
Bright Smart Futures & Commodities Company Limited RO
RA 2
2006-07-07 – 2008-07-22
Bright Smart Securities International (H.K.) Limited Rep
RA 1
2006-07-07 – 2008-07-22
Bright Smart Futures & Commodities Company Limited Rep
RA 2
2005-04-08 – 2006-06-26
Yuanta Asia Investment (Hong Kong) Limited Rep
RA 1 RA 2
2003-04-01 – 2005-03-31
SinoPac Securities (Asia) Limited Rep
RA 1 RA 4 RA 6 RA 9
2003-04-01 – 2005-03-31
SinoPac Futures (Asia) 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/AAV692