Lau, Homan 劉浩文
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 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2024-09-09 | Rep | Dealing in securities | 2024-09-09 |
| 2 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in futures contracts | 2022-12-08 | 2023-08-11 | Rep | Dealing in securities | 2022-12-08 | 2023-08-11 |
| 3 | Credit Suisse Securities (Hong Kong) Limited | Rep | Automated trading services | 2022-12-08 | 2023-08-11 | Rep | Dealing in securities | 2022-12-08 | 2023-08-11 |
| 4 | MIZUHO SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2015-05-29 | 2022-09-05 | Rep | Advising on securities | 2021-09-20 | 2022-09-05 |
| 5 | Religare Capital Markets (Hong Kong) Limited | Rep | Dealing in securities | 2011-02-15 | 2012-10-19 |
| 6 | UBS DERIVATIVES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2013-07-12 | 2015-05-24 |
| 7 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2013-07-12 | 2015-05-24 | Rep | Dealing in securities | 2013-07-12 | 2015-05-24 | Rep | Dealing in futures contracts | 2023-09-18 | 2024-05-10 | Rep | Dealing in securities | 2023-09-18 | 2024-05-10 |
| 8 | UBS SECURITIES HONG KONG LIMITED | Rep | Automated trading services | 2013-07-12 | 2015-05-24 | Rep | Dealing in securities | 2013-07-12 | 2015-05-24 | Rep | Dealing in futures contracts | 2023-09-18 | 2024-05-10 | Rep | Dealing in securities | 2023-09-18 | 2024-05-10 |
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