香港持牌證券公司:致富證券有限公司

香港持牌證券公司致富證券有限公司信息

  • 名字: 致富證券有限公司 Chief Securities Limited
  • 證監會中央編號: ADI983
  • 發牌日期: 14/03/2005

牌照詳情

受規管活動 生效日期 備註
證券交易
Dealing in Securities
Jan 01 1970
就證券提供意見
Advising on Securities
Jan 01 1970
提供自動化交易服務
Providing Automated Trading Services
Jan 01 1970
提供資產管理
Asset Management
Jan 01 1970

營業地址

  • 中文地址:Shop 18 G/F, 27 Broadway, Mei Foo Sun Chuen, Kowloon, Hong Kong
  • 英文地址:Shop 18 G/F, 27 Broadway, Mei Foo Sun Chuen, Kowloon, Hong Kong
  • 中文地址:G/F, 102 Fuk Wa Street, Kowloon, Hong Kong
  • 英文地址:G/F, 102 Fuk Wa Street, Kowloon, Hong Kong
  • 中文地址:1/F, Luen Tai Building, No. 93-99 Wan Chai Road, Wan Chai, Hong Kong
  • 英文地址:1/F, Luen Tai Building, No. 93-99 Wan Chai Road, Wan Chai, Hong Kong
  • 中文地址:香港北角英皇道335-341號恆生北角大廈10樓1001-1004室
  • 英文地址:1001-1004, 10/F, Hang Seng North Point Building, 335-341 Kingu0027s Road, North Point, Hong Kong
  • 中文地址:香港九龍城衙前塱道20號地下
  • 英文地址:G/F, 20 Nga Tsin Long Road, Kowloon City, Hong Kong
  • 中文地址:香港新界上水龍琛路39號上水廣場2007室
  • 英文地址:Room 2007 Landmark North, 39 Lung Sum Avenue, Sheung Shui, N.T., Hong Kong
  • 中文地址:香港新界荃灣沙咀道325號地下
  • 英文地址:G/F, 325 Sha Tsui Road, Tsuen Wan, New Territories, Hong Kong
  • 中文地址:香港中環德輔道中33號11樓
  • 英文地址:11/F, 33 Des Voeux Road, Central, Hong Kong
  • 中文地址:香港新界元朗泰祥街11號金輪樓地下4B號鋪
  • 英文地址:Flat 4B, G Floor, Kam Lun Building, 11 Tai Cheung Street, Yuen Long, New Territories, Hong Kong
  • 中文地址:香港中環德輔道中308-320號富衛金融中心11樓 *
  • 英文地址:11/F FWD Financial Centre, 308-320 Des Voeux Road, Central, Hong Kong *
  • 中文地址:香港中環德輔道中308-320號富衛金融中心5樓
  • 英文地址:5/F FWD Financial Centre, 308-320 Des Voeux Road, Central, Hong Kong
  • 中文地址:香港九龍觀塘牛頭角道300-302號裕民中心地下35號舖
  • 英文地址:Shop 35, G/F, Yue Man Centre, 300-302 Ngau Tau Kok Road, Kwun Tong Kowloon, Hong Kong
  • 带*: 主要營業地址

電郵地址

網站地址

www.chiefgroup.com.hk

條件

生效日期 牌照條件
2021年11月10日 就第7類受規管活動而言,持牌人須: (1) 在該平台的運作出現任何影響其客戶的重大服務故障或中斷事件的情況下,在一個營業日內將有關事件通知證監會。 (2) 當有關該平台的任何最新獨立檢討報告擬備妥當後,向證監會提供有關報告。 (3) 在每月結束後兩個星期內或應證監會的要求,向證監會提供以下報告: (a) 根據首次公開招股獲分配及已就其執行交易的股份的統計摘要; (b) 交易量(以交易宗數表示);買賣股份數目;及上述(a)所匯報的每名發行人的股份的交收總值的統計摘要; (c) 交易量(以十大最活躍客戶各自就上述(a)所匯報的每名發行人的股份的交收總值顯示)的統計摘要; (d) 就上述(a)所匯報的每名發行人的股份的交易活動所產生的(i)應向十大最活躍客戶各自收取的款項;及(ii)應向十大最活躍客戶各自支付的款項的分析,包括每個客戶的名稱及帳戶種類(現金或保證金帳戶)及該交易日結束時應向每個客戶收取或支付的相關款項; (e) 參與首次公開招股前交易的客戶總數的統計摘要,以及上述(a)所匯報的每名發行人的股份的不同種類客戶的分類明細;及 (f) 首次公開招股前交易所錄得的交易總值的統計摘要,以及就上述(a)所匯報的每名發行人的股份為不同種類客戶執行的交易的分類明細。 (4) 為免生疑問,設立安排以確保持牌人及其客戶均能遵從證監會發出的《客戶身分規則的政策》。 (5) 應證監會的要求向其提供: (a) 有權登入該平台的所有客戶名單;及 (b) 曾於任何特定交易日發出買賣指示或於該平台進行交易的所有客戶名單。
For Type 7 regulated activity, the licensee shall: n(1) notify the Commission of any incident of material service breakdown or disruption of the operations of the Platform affecting its clients within one business day.n(2) provide the Commission with any updated independent review report of the Platform when available. n(3) provide the Commission with the following reports within two weeks after the end of each month or upon request: n(a) a statistical summary of shares allotted pursuant to an initial public offering for which transactions have been executed; n(b) a statistical summary of transaction volume, expressed in number of trades; number of shares traded; and total settlement value in respect of each issueru0027s shares reported in (a) above; n(c) a statistical summary of transaction volume expressed in total settlement value by each of the top ten clients in respect of each issueru0027s shares reported in (a) above; n(d) an analysis of (i) amount receivable from each of the top ten clients; and (ii) amount payable to each of the top ten clients arising from dealing in each issuer’s shares reported in (a) above, including, the name of each client and type of client account (i.e. cash or margin account) and relevant amount receivable or payable to each client at the end of the trading day; n(e) a statistical summary of total number of clients participated in the pre-initial public offering trading with breakdown into different client types in each issuer’s shares reported in (a) above; and n(f) a statistical summary of total value of trades recorded in the pre-initial public offering trading with breakdown into trades executed for different client types in each issuer’s shares reported in (a) above.n(4) for the avoidance of doubt, have arrangements in place to ensure that it and its clients will be able to comply with the Client Identity Rule Policy issued by the Commission. n(5) upon request, provide the Commission with: (a) a list of all clients who have access to the Platform; and (b) a list of all clients who have placed orders or traded on the Platform in respect of any particular trading day.
2021年11月10日 就第7類受規管活動而言,持牌人或與持牌人屬同一公司集團的公司不得參與任何在該平台的自營買賣活動。
For Type 7 regulated activity, the licensee or any company within the same group of companies as the licensee shall not engage in any principal trading activities in the Platform.
2021年11月10日 就第7類受規管活動而言,持牌人須: (1) 以買賣根據首次公開招股獲分配的股份為目的,僅在緊接該等股份於香港聯合交易所有限公司(“聯交所”)正式上市前的一天,透過一個電子交易平台(“該平台”)提供自動化交易服務。 (2) 設立監控措施: (a) 藉此確保其交易方法的完整性;及 (b) 使交易得以在該平台上公平及有秩序地進行。 (3) 向客戶提供充足的交易前買賣指示的資料及交易後的交易資料。 (4) 設立適當的安排,確保就根據首次公開招股獲分配的股份的已執行交易而須提供的資訊,按照聯交所的規則在訂明時限內以訂明的方式向聯交所提交報告。 (5) 設立適當的安排,以便盡量減低未能就已執行交易進行交收的情況。 (6) 制訂適當的書面政策和程序,以便在緊急情況下處理未完成的買賣指示及已執行的交易,包括但不限於, (a) 押後、取消首次公開招股或更改首次公開招股的條款及細則; (b) 該平台暫停運作、發生故障或遭受干擾;及 (c) 惡劣天氣如颱風或黑色暴雨。 這些政策和程序應該在客戶使用該平台前提供予客戶。 (7) 就該平台上進行的活動,保存下列紀錄至少七年,而該等紀錄應易於取覽,及可隨時轉換成中文或英文的書面形式,並須應證監會的要求提供任何該等紀錄: (a) 客戶資料,包括其登記名稱及地址、准入及終止准入日期、認可交易員及有關詳情,以及客戶協議; (b) 限制、暫停或終止任何客戶登入的詳情,包括有關原因; (c) 日常發給客戶的所有通知及其他資料(不論為書面形式或透過電子形式傳達); (d) 在該平台上進行交易的每日及每月例行摘要,當中載列: (i) 客戶根據首次公開招股獲分配股份的詳情;及 (ii) 交易量(以交易宗數表示);買賣股份數目;及交收總值。 (8) 就該平台上處理的買賣指示及任何其他行動或活動的下述詳情,保存至少兩年按時序排列的紀錄,而該等紀錄應易於取覽,及可隨時轉換成中文或英文的書面形式,並須應證監會的要求提供任何該等紀錄: (a) 買賣指示的接收、執行、修改、取消及屆滿(視乎適用者而定)日期及時間; (b) 輸入、修改、取消及執行買賣指示的客戶及認可交易員的身分; (c) 買賣指示及買賣指示的任何繼後修改及執行的詳情(視乎適用者而定),包括但不限於所涉及的股份、買賣指示的股份數量及屬於買方或賣方、買賣指示的種類、任何買賣指示編號、時間及價格限制,以及發出買賣指示的客戶指定的任何其他條件;及 (d) 分配及重新分配(視乎適用者而定)指示執行的詳情。
For Type 7 regulated activity, the licensee shall: n(1) only provide Automated Trading Services via an electronic trading platform (“Platform”), for the purpose of trading shares allotted pursuant to an initial public offering only on the day immediately before their official listing on The Stock Exchange of Hong Kong Limited (“SEHK”). n(2) have controls that: n(a) are designed to ensure the integrity of its trading methodology; and n(b) enable fair and orderly trading on the Platform. n(3) provide sufficient pre-trade order information and post-trade transaction information to its clients. n(4) have appropriate arrangements in place that ensure the required information about executed transactions of shares allotted pursuant to an initial public offering is reported to SEHK in the prescribed manner and within the prescribed time limit in accordance with the rules of SEHK. n(5) have appropriate arrangements in place to minimise the settlement failure of executed transactions. n(6) have appropriate written policies and procedures to handle outstanding orders and executed transactions under contingency situations including, but not limited to, n(a) postponement, cancellation or alternation to the terms and conditions of an initial public offering; n(b) suspension, breakdown, or disruption of the Platform; and n(c) adverse weather like typhoon or black rainstorm. These policies and procedures should be provided to its clients prior to their using of the Platform. n(7) keep for a period of not less than seven years the following records in respect of the activities on the Platform in such a manner as to enable them to be readily accessible and readily convertible into written form in the Chinese or English language; and provide any of those records to the Commission upon request: n(a) client details, including their registered names and addresses, dates of admission and cessation, authorised traders and related details, and client agreements; (b) details of restricting, suspending, or terminating any clientu0027s access, including related reasons; n(c) all notices and other information, whether written or communicated through electronic means, provided to clients generally; n(d) routine daily and monthly summary of trading on the Platform including: (i) shares allotment details of clients pursuant to an initial public offering; and (ii) transaction volume, expressed in number of trades; number of shares traded; and total settlement value. n(8) keep for a period of not less than two years time-sequenced records of orders and any other actions or activities on the Platform as particularised below in such a manner as to enable them to be readily accessible and readily convertible into written form in the Chinese or English language; and provide any of those records to the Commission upon request: n(a) date and time that the order was received, executed, modified, cancelled and expired (where applicable); n(b) identity of the client and authorised trader initiating the entry, modification, cancellation and execution of the order; n(c) particulars of the order and any subsequent modification and execution of the order (where applicable), including but not limited to, the shares involved, the size and side (buy or sell) of the order, the order type, and any order designation, time and price limit and other conditions specified by the client initiating the order; and n(d) particulars of the allocation and re-allocation (where applicable) of an execution.
2021年11月10日 就第7類受規管活動而言,持牌人須: (1) 設立適當的安排,以確保持牌人得以: (a) 監察在該平台上發出的買賣指示和進行的交易,以識別涉嫌違反任何有關在該平台上公平及有秩序地進行買賣的規則的情況,以及可能構成市場舞弊的行為; (b) 在切實可行的情況下,盡快向證監會報告任何涉嫌違反持牌人有關在該平台上公平及有秩序地進行買賣的規則的情況,或涉嫌市場舞弊行為;及 (c) 在切實可行的情況下,盡快應證監會的要求向證監會提供有關任何涉嫌違規或涉嫌市場舞弊的相關資料,並就證監會對涉嫌違規或涉嫌市場舞弊進行的查訊或調查向證監會提供全力協助。 (2) 如對下列指明事宜有任何重大更改,須於更改生效前通知證監會: (a) 公司架構及管治安排; (b) 業務計劃或運作; (c) 該平台(包括交易規則、運作時間、系統營運商、硬件、軟件及其他技術的更改);及 (d) 持牌人在合約下對該平台客戶所負有的責任。 (3) 在該平台出現影響客戶的重大運作延誤或故障的情況時,將有關事件的原因或可能原因在切實可行的情況下盡快通知證監會。 (4) 在切實可行的情況下,盡快任何涉嫌違反其有關在該平台上公平及有秩序地進行買賣的規則的情況或涉嫌市場舞弊行為通知證監會。 (5) 為持牌人本身的運作及該平台設立適當的業務延續計劃及災後恢復程序,並將該等計劃或程序的任何重大改變通知證監會。
For Type 7 regulated activity, the licensee shall: n(1) have appropriate arrangements in place that enable it to: n(a) monitor orders placed into and transactions undertaken on the Platform to identify suspected breaches of any rules relating to fair and orderly trading on the Platform and conduct that may constitute market abuse; n(b) report to the Commission as soon as practicable any suspected breaches of its rules relating to fair and orderly trading on the Platform or suspected market abuse; and n(c) upon request from the Commission, supply relevant information to the Commission as soon as practicable regarding any suspected breaches or suspected market abuse and provide full assistance to the Commission in inquiring into or investigating the suspected breaches or suspected market abuse. n(2) notify the Commission of any material changes to the matters specified below, prior to the changes taking effect: n(a) corporate structure and governance arrangements; n(b) business plans or operations; n(c) the Platform (including changes in trading rules, operating hours, operator of the system, hardware, software, and other technology); and n(d) its contractual responsibilities for clients of the Platform. n(3) notify the Commission as soon as practicable of the causes, or possible causes, of and the remedial actions for material delay or failure to the operation of the Platform effecting the clients upon its occurrence. n(4) notify the Commission as soon as practicable of any suspected breaches of its rules relating to fair and orderly trading on the Platform or suspected market abuse. n(5) put in place appropriate business continuity plans and disaster recovery programmes for its operations and the Platform and notify the Commission of any material changes to the plans or programmes.

負責人員

負責人員名字 中央編號 RA1 RA2 RA3 RA4 RA5 RA6 RA7 RA8 RA9 RA10
陳嘉華
CHAN Ka Wa
AOX337X
陳贊宇
CHAN Tsan Yu
AHR015X
周松堦
CHAU Chung Kai, Peter
AAC736X
張德明
CHEUNG Tak Ming
BGD988XX
趙德鴻
CHIU Tak Hung
ABM017X
郭家安
KWOK Ka On
AGB477XX
郭鍏傑
KWOK Wai Kit
AOB670XX
李兆豐
LEE Siu Fung
AWW160XX
李波
LI Bo
AMN738X
吳少梅
NG Siu Mui
ACR889XXX
蘇家傑
SO Ka Kit
AMM080X
鄧澤堂
TANG Chat Tong
AMG896XX
葉海亞
YE Haiya
AJL618XXXX
楊澤南
YEUNG Chak Nam
AUC990X

代表

代表名字 中央編號 RA1 RA2 RA3 RA4 RA5 RA6 RA7 RA8 RA9 RA10
區嘉竣
AU Ka Chun
BNO609X
區君模
AU Kwun Mo
AMV052XX
歐陽耀榮
AU-YEUNG Yiu Wing
BRE503XX
陳澤其
CHAN Chak Ki
BKA656XX
陳賜超
CHAN Chi Chiu
BBK150XX
陳可兒
CHAN Ho Yee
BRW765X
陳嘉汶
CHAN Ka Man
BBW601XX
陳嘉華
CHAN Ka Wa
AOX337X
陳萬松
CHAN Man Chung
ANH834X
陳毅嘉
CHAN Ngai Ka
AOY222XX
陳毅耘
CHAN Ngai Wan
AAC737X
陳念恩
CHAN Nim Yan Calvin
BFE612X
陳尚輝
CHAN Sheung Fai
BRO043X
陳少碧
CHAN Siu Bik
BJT682XX
陳贊宇
CHAN Tsan Yu
AHR015X
陳芷珊
CHAN Tsz Shan
BRQ117X
陳永泰
CHAN Wing Tai, Jack
AHN562XX
陳婉貞
CHAN Yuen Ching
AOX338X
陳珮珊
CHEN Pui Shan
BRE504X
鄭寶雲
CHENG Bo Wan
AGB501X
鄭文敏
CHENG Man Man
BJM105X
鄭宇擎
CHENG Yu King, Alvin
APQ273XX
鄭月英
CHENG Yuet Ying
BOS252X
張志堅
CHEUNG Chi Kin
AFF123X
張家強
CHEUNG Ka Keung
AHN826XX
張偉業
CHEUNG Wai Yip
BQO612X
張雲添
CHEUNG Wan Tim
BMY682XX
張人傑
CHEUNG Yan Kit
BPT168X
張日陞
CHEUNG Yat Sing
BHU979XX
趙錦鴻
CHIU Kam Hung
ANA185X
趙德鴻
CHIU Tak Hung
ABM017X
蔡世懷
CHOI Sai Wai
ACK251XX
蔡瑞文
CHOI Shui Man
APD246XX
莊志豪
CHONG Chi Ho
ANM084XX
鄒昕言
CHOW Sum Yin
BHR368XX
朱銘燊
CHU Ming Sun
APR825X
朱永年
CHU Weng Nin
AEV958X
鍾曉林
CHUNG Hiu Lam
BRG412X
鍾汶希
CHUNG Man Hei
BPE850X
幸志平
HANG Chi Ping
BJV884XX
幸志瑩
HANG Chi Ying Toby
BKA661X
何秋燕
HO Chau Yin
BEX111X
何智仁
HO Chi Yan
APB565X
何佩橋
HO Pui Kiu
ABZ494X
何珮文
HO Pui Man
BGZ456XX
何慧琴
HO Wai Kam
BQQ765X
何銳謙
HO Yui Him
BGB436XX
洪璽楠
HONG Xinan
BOK055X
許燦熙
HUI Chan Hei
AHX338X
許立偉
HUI Lap Wai
ACC510X
孔繁德
HUNG Fan Tak
BRG409X
葉宇軒
IP Yu Hin
BEJ754X
高啟申
KO Kai San
AIT944XX
高得強
KO Tak Keung
ABY462X
江榮厚
KONG Wing Hau
ABO900X
葛展昀
KOT Chin Wan
BOJ686X
關凱威
KWAN Hoi Wai
ATV559XX
郭行健
KWOK Hang Kin
BNN101X
郭家安
KWOK Ka On
AGB477X
郭勁之
KWOK Keng Chee
ATL725XX
郭寶珊
KWOK Po Shan Christine
BOQ100XX
林健邦
LAM Kin Pong
BMT614XX
林思勁
LAM Sze King, Jonathan
BAX918XX
林煜華
LAM Yuk Wah
APL828X
劉志斌
LAU Chi Pun
AWK994X
劉展華
LAU Chin Wah Teresa
BSH120X
劉美梅
LAU Mei Mui
AAB153X
劉達燊
LAU Tat San
BPK639XX
劉慧心
LAU Wai Sum
AHU045X
劉永棠
LAU Wing Tong
AKV006XX
羅樂德
LAW Lok Tak
BKG275X
羅梓銘
LAW Tsz Ming
BMI035XX
李振輝
LEE Chun Fai
BCF870XX
李乙銘
LEE Yuet Ming
APZ372XX
梁志恒
LEUNG Chi Hang
BMX521X
梁彩燕
LEUNG Choi In
BDQ181X
梁健基
LEUNG Kin Kei
AXL876XX
梁雪玲
LEUNG Suet Ling
ABW662X
梁帥聰
LEUNG Sui Chung
ASX746XX
梁以德
LEUNG Yee Tak
AVY560X
李波
LI Bo
AMN738X
李志東
LI Chi Tung
BRM259X
李樹樟
LI Su Cheong
BRV465X
李德康
LI Tak Hong
AOB022XX
李偉釗
LI Wai Chiu
BFK690X
廖湛賢
LIU Cham Yin
BEF801XX
盧苡汶
LO I Man
BBK664XX
盧洛森
LO Lok Sum
BOH647XX
雷偉超
LUI Wai Chiu
AIH680X
陸嘉駿
LUK Ka Chun
AXO221X
羅明
LUO Ming
AQI799X
羅麗芬
Law Lai Fun
ATE979X
麥達卓
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AAC740X
莫家賢
MOK Ka Yin
BRS719X
莫惠芬
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AVE576XXX
莫偉鴻
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AGW412X
莫易東
MOK Yik Tung
BCD050X
吳鴻良
NG Hung Leung
BJH317XX
吳國權
NG Kwok Kuen
ABM053X
吳茂江
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BGY984X
吳慧萍
NG Wai Ping
AWC089X
魏葳霖
NGAI Wai Lam
BIH476X
柯宇揚
OR Yu Yeung
BLI759X
蕭敬行
SIU King Hang
AGR732XX
蕭德威
SIU Tak Wai
BMW297X
蘇家傑
SO Ka Kit
AMM080XX
譚思衡
TAM Sze Hang
BRO687X
鄧澤堂
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AMG896X
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BRT648X
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BGX428X
曾俊升
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謝家祥
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BMR368XXX
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AYX174X
尹國柱
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BLE912XX
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WEY Meirong
ATC520X
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WONG Chung Kwok Raymond
BOK188XX
汪禧文
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AAC743X
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BRX219X
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ADX899X
王承坤
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BFO971XX
黃霆鋒
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BOU171XX
黃奕凱
WONG Yee Kae
ATV562X
黃玉萍
WONG Yuk Ping, Alice
ANQ026XX
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WU Hin Cheong
ANY311XX
甄家樂
YAN Ka Lok
ARK078XX
楊靖
YANG Jing
AXL919XX
姚玲玲
YAO Lingling
AUB188X
尤庭鋒
YAU Ting Fung
AEE376X
楊澤南
YEUNG Chak Nam
AUC990XX
楊國基
YEUNG Kwok Kei
BBB086XX
楊達浩
YEUNG Tat Ho
AXZ759XX
葉子聰
YIP Tsz Chung
BSA365X
余耀權
YU Yiu Kuen Stephen
BOW457XX
袁治樑
YUEN Chi Leung
ARE580X
袁少中
YUEN Siu Chung
ALB988X
張玉儿
ZHANG Yuer
BIE512XX
趙劍
ZHAO Jian
ASK086X
肇越
ZHAO Yue
BFK717XXX

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