CHAU Ling

周凌

CE ANU529Licensed IndividualResponsible OfficerSFO licence active

CHAU Ling (CE number ANU529) is an individual licensed by the Hong Kong SFC. First licensed on 2006-12-15. 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 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities

RA 2 Dealing in Futures Contracts

RA 3 Leveraged Foreign Exchange Trading

RA 4 Advising on Securities

RA 9 Asset Management

Roles & Accreditations (1)

Capacity	Company / Institution
Responsible Officer	IMO Asset Management Limited

Licence Record (12)

2023-11-14 – present Current

IMO Asset Management Limited RO

RA 4 RA 9

2023-09-14 – 2023-11-14

IMO Asset Management Limited Rep

RA 4 RA 9

2016-07-05 – 2016-12-12

Huatai Financial Holdings (Hong Kong) Limited Rep

RA 1 RA 2 RA 4

2011-08-29 – 2014-02-05

BOCI Securities Limited Rep

RA 1 RA 2 RA 3 RA 4

2010-02-04 – 2011-07-07

Nomura Securities (Hong Kong) Limited Rep

RA 2

2008-02-29 – 2011-07-07

Nomura International (Hong Kong) Limited Rep

RA 1 RA 2

2008-02-29 – 2010-02-19

Nomura Futures (Hong Kong) Limited Rep

RA 2

2007-03-05 – 2008-02-18

China Everbright Securities (HK) Limited Rep

RA 1

2007-02-12 – 2008-02-18

China Everbright Forex & Futures (HK) Limited Rep

RA 2 RA 3

2007-01-23 – 2007-01-31

Phillip Commodities (HK) Limited Rep

RA 2 RA 3

2006-12-15 – 2007-01-01

Emperor Futures Limited Rep

RA 2

2006-12-15 – 2007-01-01

Emperor International Exchange (Hong Kong) Company 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/ANU529