Lau, Wai Sum 劉慧心
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 | CHIEF SECURITIES LIMITED | Rep | Dealing in securities | 2017-08-24 | |
| 2 | CINDA INTERNATIONAL FUTURES LIMITED | Rep | Advising on futures contracts | 2003-12-20 | Rep | Asset management | 2003-12-20 | Rep | Dealing in futures contracts | 2006-09-23 |
| 3 | CINDA INTERNATIONAL SECURITIES LIMITED | Rep | Advising on corporate finance | 2003-12-20 | Rep | Advising on securities | 2003-12-20 | Rep | Asset management | 2003-12-20 | Rep | Automated trading services | 2003-12-20 | Rep | Dealing in securities | 2006-09-23 |
| 4 | EAST ASIA SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2006-10-13 | 2016-07-08 |
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