Chow, Ricky Wai Kei 周瑋琪
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | Alpha Financial Group Limited | RO | Dealing in securities | 2009-06-04 | 2016-12-30 | Rep | Dealing in securities | 2020-09-15 | 2020-11-06 | RO | Dealing in securities | 2020-11-06 | 2021-09-30 | Rep | Dealing in securities | 2022-05-06 | 2022-07-06 | RO | Dealing in securities | 2022-07-06 |
| 2 | AMPLE CAPITAL LIMITED | Rep | Advising on corporate finance | 2009-06-04 | 2016-12-30 | RO | Advising on securities | 2009-06-04 | 2016-12-30 |
| 3 | CHINA EVERBRIGHT CAPITAL LIMITED | Rep | Advising on securities | 2005-10-07 | 2007-03-27 | Rep | Dealing in securities | 2005-10-07 | 2007-03-27 | Rep | Advising on corporate finance | 2005-10-07 | 2009-03-23 | RO | Advising on securities | 2007-03-27 | 2009-03-23 | RO | Dealing in securities | 2007-03-27 | 2009-03-23 |
| 4 | CHINA EVERBRIGHT SECURITIES (HK) LIMITED | Rep | Dealing in securities | 2006-03-14 | 2006-10-23 | Rep | Advising on securities | 2006-03-14 | 2007-03-27 | Rep | Advising on corporate finance | 2006-03-14 | 2009-03-23 | RO | Dealing in securities | 2006-10-23 | 2009-03-23 | RO | Advising on securities | 2007-03-27 | 2009-03-23 |
| 5 | CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2003-12-09 | 2004-07-06 |
| 6 | CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2003-12-09 | 2004-07-06 |
| 7 | KINGSWAY FINANCIAL SERVICES GROUP LIMITED | Rep | Advising on corporate finance | 2003-10-30 | Rep | Advising on securities | 2003-10-30 | Rep | Asset management | 2003-10-30 | Rep | Automated trading services | 2003-10-30 | Rep | Dealing in securities | 2003-11-04 |
| 8 | MAINLAND ASSET MANAGEMENT LIMITED | RO | Advising on securities | 2019-09-03 | 2020-03-19 |
| 9 | MAINLAND SECURITIES LIMITED | RO | Dealing in securities | 2018-11-13 | 2020-03-19 |
| 10 | SINOPAC SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2004-07-21 | 2005-09-29 | Rep | Advising on corporate finance | 2004-08-04 | 2005-09-29 | Rep | Advising on securities | 2004-08-04 | 2005-09-29 |
| 11 | SUNFUND SECURITIES LIMITED | RO | Dealing in securities | 2017-01-23 | 2018-09-03 |
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