Lau, On Wah 劉安樺
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 | AOP Capital Limited | Rep | Advising on securities | 2020-09-02 | 2021-01-22 | Rep | Asset management | 2020-09-02 | 2021-01-22 |
2 | Augment Wealth Advisors Limited | RO | Dealing in futures contracts | 2021-08-19 | 2022-12-13 | RO | Dealing in securities | 2021-08-19 | 2022-12-13 | RO | Advising on futures contracts | 2021-08-19 | 2023-10-31 | RO | Advising on securities | 2021-08-19 | 2023-10-31 | RO | Asset management | 2021-08-19 | 2023-10-31 |
3 | EUREKA CAPITAL PARTNERS (HK) LIMITED | RO | Advising on securities | 2016-08-23 | 2017-03-05 | RO | Dealing in securities | 2016-08-23 | 2017-03-05 |
4 | Execution Noble (Hong Kong) Limited | Rep | Dealing in securities | 2005-10-14 | 2005-12-19 | RO | Dealing in securities | 2005-12-19 | 2006-05-15 | Rep | Dealing in securities | 2006-05-15 | 2007-03-22 | RO | Dealing in securities | 2007-03-22 | 2015-04-10 |
5 | Grit Securities Limited | RO | Dealing in securities | 2017-03-08 | 2020-08-31 |
6 | JOINCAP CAPITAL LIMITED | RO | Advising on securities | 2017-09-22 | 2020-08-31 | RO | Asset management | 2017-09-22 | 2020-08-31 |
7 | KHG Asset Management Limited | RO | Advising on securities | 2024-01-04 | RO | Asset management | 2024-01-04 | RO | Dealing in securities | 2024-01-04 |
8 | SBI China Capital Commodities Limited | RO | Dealing in futures contracts | 2005-08-08 | RO | Advising on futures contracts | 2005-04-21 | 2005-08-08 | RO | Asset management | 2005-04-21 | 2005-08-08 |
9 | SBI China Capital Financial Services Limited | RO | Dealing in securities | 2005-08-08 | |
10 | SBI China Capital Securities Limited | RO | Dealing in securities | 2005-08-08 | RO | Advising on securities | 2005-04-21 | 2005-08-08 | RO | Asset management | 2005-04-21 | 2005-08-08 |
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