Lau, Sammy Chung Hing 劉頌興

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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 HSBC Global Asset Management (Hong Kong) Limited Rep Advising on corporate finance 2004-05-06
2 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED RO Advising on futures contracts 2006-01-18 2006-08-01
BOCI ASSET MANAGEMENT LIMITED RO 2006-02-27 2006-08-01
PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED RO 2008-05-29 2008-08-30
3 HSBC Global Asset Management (Hong Kong) Limited Rep Advising on securities 2005-11-30
Halbis Capital Management (Hong Kong) Limited Rep 2005-07-15 2005-10-24
BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED Rep 2005-12-20 2006-01-18
BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED RO 2006-01-18 2006-08-01
BOCI ASSET MANAGEMENT LIMITED RO 2006-02-27 2006-08-01
NEXUS INVESTMENT MANAGEMENT LIMITED (HK) Rep 2006-10-13 2006-11-20
PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED RO 2008-05-29 2008-08-30
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED RO 2008-10-22 2011-08-27
GF Asset Management (Hong Kong) Limited RO 2012-08-30 2020-01-24
Basis Asset Management Limited RO 2021-01-29
4 HSBC Global Asset Management (Hong Kong) Limited Rep Asset management 2005-11-30
Halbis Capital Management (Hong Kong) Limited Rep 2005-07-15 2005-10-24
BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED Rep 2005-12-20 2006-01-18
BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED RO 2006-01-18 2006-08-01
BOCI ASSET MANAGEMENT LIMITED RO 2006-02-27 2006-08-01
NEXUS INVESTMENT MANAGEMENT LIMITED (HK) Rep 2006-10-13 2006-11-20
PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED Rep 2007-04-11 2007-06-04
PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED RO 2007-06-04 2008-08-30
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED Rep 2008-09-12 2008-10-09
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED RO 2008-10-09 2011-08-27
SEEKERS ADVISORS H.K. LIMITED RO 2012-03-23 2012-06-18
GF Asset Management (Hong Kong) Limited Rep 2012-07-03 2012-08-30
GF Asset Management (Hong Kong) Limited RO 2012-08-30 2020-01-24
Basis Asset Management Limited RO 2021-01-29
5 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED RO Dealing in securities 2006-01-18 2006-08-01
BOCI ASSET MANAGEMENT LIMITED RO 2006-02-27 2006-08-01
GF Securities (Hong Kong) Brokerage Limited RO 2017-12-28 2020-01-24

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