Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

CHU Ka Ming, Lawrence

朱家明
CE AVC355Licensed IndividualResponsible OfficerExecutive OfficerSFO licence active
Official SFC record

CHU Ka Ming, Lawrence (CE number AVC355) is an individual licensed by the Hong Kong SFC. First licensed on 2012-03-30. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerHSBC Corporate Finance (Hong Kong) Limited
Executive OfficerHongkong and Shanghai Banking Corporation Limited, The
香港上海滙豐銀行有限公司

Licence Record (2)

2012-03-30 – present Current
HSBC Corporate Finance (Hong Kong) Limited RO
RA 6
2021-08-25 – 2021-08-26
HSBC Corporate Finance (Hong Kong) Limited Rep
RA 6

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/AVC355