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CHAU Wa

周華
CE AEY428Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CHAU Wa (CE number AEY428) 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 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) (5)

RA 1 Dealing in Securities
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 OfficerWestock Securities International (HK) Limited
微投證券國際(香港)有限公司

Licence Record (3)

2008-10-02 – present Current
Westock Securities International (HK) Limited RO
RA 1
2004-08-24 – 2008-09-30
Goldride Securities Limited RO
RA 1
2003-04-01 – 2004-08-24
Goldride Securities Limited Rep
RA 1 RA 4 RA 6 RA 7 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/AEY428