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CHOW Wai Ming

周維明
CE ACT729Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CHOW Wai Ming (CE number ACT729) is an individual licensed by the Hong Kong SFC. First licensed on 2005-04-27. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerCitigroup Global Markets Asia Limited
花旗環球金融亞洲有限公司

Licence Record (6)

2024-04-16 – present Current
Citigroup Global Markets Asia Limited RO
RA 1 RA 6
2015-09-09 – 2024-04-16
Citigroup Global Markets Asia Limited Rep
RA 1 RA 6
2007-05-22 – 2015-06-08
Merrill Lynch (Asia Pacific) Limited Rep
RA 1 RA 4 RA 6
2007-05-22 – 2015-06-08
Merrill Lynch Far East Limited Rep
RA 1 RA 4 RA 6
2006-03-27 – 2007-05-21
RBS Asia Corporate Finance Limited Rep
RA 1 RA 6
2005-04-27 – 2006-02-28
Rothschild & Co Hong Kong Limited Rep
RA 1 RA 4 RA 6

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/ACT729