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CHAU Lok Yuen, Amy

周樂宛
CE AQF112Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CHAU Lok Yuen, Amy (CE number AQF112) is an individual licensed by the Hong Kong SFC. First licensed on 2008-01-04. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 6 (Corporate finance). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerInnovax Securities Limited
創陞證券有限公司

Licence Record (6)

2017-04-19 – present Current
Innovax Securities Limited RO
RA 1 RA 4
2011-02-07 – 2016-09-01
China Everbright Capital Limited Rep
RA 1 RA 4 RA 6
2011-02-07 – 2016-09-01
China Everbright Securities (HK) Limited Rep
RA 1 RA 4 RA 6
2009-09-14 – 2010-09-16
Everbright Securities Global (HK) Limited Rep
RA 1 RA 6
2009-05-26 – 2010-05-15
CES Commodities (HK) Limited Rep
RA 2
2008-01-04 – 2010-09-16
Everbright Securities Investment Services (HK) Limited Rep
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/AQF112