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CHUANG I-Chu

莊易築
CE ANW396Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CHUANG I-Chu (CE number ANW396) is an individual licensed by the Hong Kong SFC. First licensed on 2006-11-13. 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 2 firms.

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 (3)

CapacityCompany / Institution
Responsible OfficerGuoyuan Capital (Hong Kong) Limited
國元融資(香港)有限公司
Responsible OfficerGuoyuan Securities Brokerage (Hong Kong) Limited
國元証券經紀(香港)有限公司
RepresentativeGuoyuan Capital (Hong Kong) Limited
國元融資(香港)有限公司

Licence Record (15)

2018-03-01 – present Current
Guoyuan Capital (Hong Kong) Limited RO
RA 1
2017-07-26 – present Current
Guoyuan Capital (Hong Kong) Limited Rep
RA 1 RA 6
2010-08-30 – present Current
Guoyuan Securities Brokerage (Hong Kong) Limited RO
RA 1 RA 4
2021-06-29 – 2022-04-19
Guoyuan Asset Management (Hong Kong) Limited Rep
RA 9
2016-11-07 – 2017-05-04
Guoyuan Futures (Hong Kong) Limited RO
RA 2 RA 5
2016-02-16 – 2016-06-30
Fosun International Securities Limited Rep
RA 9
2015-10-26 – 2016-06-30
Fosun International Securities Limited RO
RA 1 RA 4
2012-09-17 – 2015-08-17
Huatai Financial Holdings (Hong Kong) Limited RO
RA 1 RA 4
2012-08-14 – 2015-08-17
Huatai Financial Holdings (Hong Kong) Limited Rep
RA 1 RA 2 RA 4
2010-08-23 – 2022-04-28
Guoyuan Securities Brokerage (Hong Kong) Limited Rep
RA 1
2010-02-18 – 2010-06-30
IBTS Asia (HK) Limited RO
RA 1 RA 4
2010-01-22 – 2010-02-18
IBTS Asia (HK) Limited Rep
RA 1 RA 4
2007-11-20 – 2009-10-02
Open Asset Management Limited RO
RA 4
2007-11-02 – 2007-11-20
Open Asset Management Limited Rep
RA 4
2006-11-13 – 2009-10-02
Open Securities Limited RO
RA 1 RA 4

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/ANW396