Lau, Yik Ting 劉奕霆
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 | CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | Dealing in securities | 2013-09-16 | 2014-01-25 |
| 2 | CSC FUTURES (HK) LIMITED | Rep | Dealing in futures contracts | 2016-07-14 | 2017-05-08 |
| 3 | CSC SECURITIES (HK) LIMITED | Rep | Dealing in securities | 2016-04-27 | 2017-05-08 |
| 4 | Finex Hong Kong Limited | Rep | Advising on securities | 2018-10-15 | 2018-11-16 | Rep | Dealing in securities | 2018-10-15 | 2018-11-16 | RO | Advising on securities | 2018-11-16 | 2019-10-12 | RO | Dealing in securities | 2018-11-16 | 2019-10-12 |
| 5 | GF Securities (Hong Kong) Brokerage Limited | Rep | Dealing in securities | 2014-02-18 | 2016-04-11 |
| 6 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Dealing in securities | 2020-07-13 | 2020-10-15 | Rep | Advising on securities | 2020-07-13 | 2023-04-18 | Rep | Dealing in futures contracts | 2020-07-16 | 2023-09-12 | RO | Dealing in securities | 2020-10-15 | 2024-07-15 | RO | Advising on securities | 2023-04-18 | 2024-07-15 | RO | Automated trading services | 2023-07-10 | 2024-07-15 | RO | Dealing in futures contracts | 2023-09-12 | 2024-07-15 |
| 7 | Open Asset Management Limited | Rep | Asset management | 2017-07-10 | 2018-10-05 |
| 8 | Open Securities Limited | Rep | Dealing in futures contracts | 2017-05-22 | 2018-10-05 | Rep | Dealing in securities | 2017-05-22 | 2018-10-05 | Rep | Advising on securities | 2018-07-04 | 2018-10-05 |
| 9 | Pearl Bridge Securities Limited | Rep | Advising on securities | 2020-05-21 | 2020-06-15 | Rep | Dealing in securities | 2020-05-21 | 2020-06-15 | RO | Advising on securities | 2020-06-15 | 2020-06-26 | RO | Dealing in securities | 2020-06-15 | 2020-06-26 |
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