Lau, Pauline Yuen Ling 劉宛玲
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 | AESOP ASSET MANAGEMENT LIMITED | RO | Advising on securities | 2017-06-07 | RO | Asset management | 2017-06-07 |
| 2 | BSI Investment Advisors (Hong Kong) Limited | Rep | Asset management | 2010-12-06 | 2011-10-19 | Rep | Advising on securities | 2010-12-06 | 2014-01-31 | Rep | Dealing in securities | 2010-12-06 | 2014-01-31 |
| 3 | CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Advising on securities | 2004-02-24 | 2006-08-11 |
| 4 | GALAXY ASSET MANAGEMENT (H.K.) LIMITED | Rep | Advising on securities | 2006-08-24 | 2008-12-31 | Rep | Advising on futures contracts | 2006-10-19 | 2008-12-31 | Rep | Asset management | 2006-10-19 | 2008-12-31 |
| 5 | GF Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2009-04-15 | 2009-09-18 | Rep | Asset management | 2009-04-15 | 2009-09-18 |
| 6 | Hongkong Bay Asset Management Limited | Rep | Advising on securities | 2016-04-18 | 2016-11-29 | Rep | Asset management | 2016-04-18 | 2016-11-29 |
| 7 | KINGSWAY FINANCIAL SERVICES GROUP LIMITED | Rep | Advising on securities | 2003-08-28 | 2004-01-28 |
| 8 | LBN Advisers Limited | Rep | Asset management | 2009-10-09 | 2010-04-19 |
| 9 | Mason Securities Limited | Rep | Advising on corporate finance | 2003-06-06 | Rep | Advising on securities | 2003-06-06 | Rep | Asset management | 2003-06-06 |
| 10 | Wise Torch Investments Limited | RO | Advising on securities | 2016-11-30 | 2017-03-20 | RO | Asset management | 2016-11-30 | 2017-06-01 | Rep | Advising on securities | 2017-03-20 | 2017-06-01 |
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