Lau, Derrick Wang Yip 劉宏業
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 Galaxy International Asset Management (Hong Kong) Co., Limited | RO | Advising on securities | 2013-02-25 | 2022-09-13 | RO | Asset management | 2013-02-25 | 2022-09-13 |
2 | China Galaxy International Futures (Hong Kong) Co., Limited | RO | Dealing in futures contracts | 2017-09-21 | 2022-09-13 |
3 | China Galaxy International Securities (Hong Kong) Co., Limited | RO | Dealing in securities | 2011-09-12 | 2022-09-13 | RO | Advising on securities | 2012-03-13 | 2022-09-13 | RO | Advising on corporate finance | 2012-07-23 | 2022-09-13 |
4 | PIPER JAFFRAY ASIA LIMITED | RO | Advising on corporate finance | 2005-06-17 | 2011-04-07 | RO | Dealing in securities | 2005-06-17 | 2011-04-07 |
5 | PIPER JAFFRAY ASIA SECURITIES LIMITED | RO | Advising on securities | 2007-04-03 | 2011-04-07 | RO | Dealing in securities | 2007-04-03 | 2011-04-07 |
6 | Polaris Capital (Asia) Limited | RO | Advising on corporate finance | 2005-01-12 | RO | Dealing in securities | 2005-01-12 |
7 | Yuanta Asia Investment (Hong Kong) Limited | RO | Advising on corporate finance | 2004-11-04 |
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