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CHU Sau Ming

朱秀明
CE AEJ665Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CHU Sau Ming (CE number AEJ665) 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 3 (Leveraged FX), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 7 (Automated trading), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (7)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 3 Leveraged Foreign Exchange Trading
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 7 Providing Automated Trading Services
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible Officeraacat fintech Limited
貓達人金融科技有限公司

Licence Record (13)

2022-09-27 – present Current
aacat fintech Limited RO
RA 1 RA 4
2020-05-20 – 2021-11-30
Global Ample Asset Management Company Limited RO
RA 4 RA 9
2018-01-09 – 2019-11-02
Chung Lee Securities Company Limited RO
RA 1
2017-11-29 – 2019-11-02
ZhongHua Finance Asset Management Co., Limited RO
RA 4 RA 9
2016-11-03 – 2017-09-15
China Qianhai Zhongjin Securities Limited RO
RA 1
2011-07-15 – 2013-12-23
BMI Funds Management Limited Rep
RA 9
2011-03-14 – 2016-04-01
BMI Securities Limited RO
RA 1
2010-09-10 – 2016-04-01
BMI Funds Management Limited RO
RA 1 RA 9
2009-10-23 – 2010-04-30
Hong Kong Securities (International) Company Limited Rep
RA 1
2005-09-01 – 2007-07-31
Finet Securities Limited Rep
RA 1
2003-08-19 – 2004-05-24
Cinda International Futures Limited Rep
RA 2
2003-04-01 – 2005-08-01
Cinda International Securities Limited Rep
RA 1 RA 4 RA 6 RA 7 RA 9
2003-04-01 – 2004-05-24
Cinda International Investment Management Limited Rep
RA 3

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/AEJ665