Shiu, Lap Kei (SFC:AOI979) 蕭立基
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 | Avenue Asset Management Limited (HK) | Rep | Advising on securities | 2020-04-14 | 2020-09-18 | Rep | Asset management | 2020-04-14 | 2020-09-18 |
| 2 | Avenue Family Office Limited | Rep | Advising on securities | 2020-04-14 | 2020-09-18 | Rep | Asset management | 2020-04-14 | 2020-09-18 | Rep | Dealing in securities | 2020-04-14 | 2020-09-18 |
| 3 | AVENUE INVESTMENT MANAGEMENT LIMITED | Rep | Advising on securities | 2020-04-14 | 2020-09-18 | Rep | Asset management | 2020-04-14 | 2020-09-18 | Rep | Dealing in securities | 2020-04-14 | 2020-09-18 |
| 4 | HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2007-08-17 | 2008-05-24 |
| 5 | HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2007-08-17 | 2008-05-24 |
| 6 | HSBC SECURITIES BROKERS (ASIA) LIMITED | Rep | Dealing in securities | 2015-10-05 | 2016-01-22 |
| 7 | MACROWATERS ASIA FUND MANAGEMENT LIMITED | Rep | Asset management | 2020-12-08 | 2021-01-26 | RO | Asset management | 2021-01-26 | 2021-03-31 |
| 8 | Morgan Stanley Asia Limited | Rep | Automated trading services | 2012-09-05 | 2013-07-24 | Rep | Dealing in securities | 2012-09-05 | 2014-09-05 |
| 9 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in futures contracts | 2012-09-05 | 2014-09-05 | Rep | Dealing in securities | 2012-09-05 | 2014-09-05 | Rep | Automated trading services | 2013-07-24 | 2014-09-05 |
| 10 | MUFG Securities Asia Limited | Rep | Dealing in futures contracts | 2010-12-31 | 2012-07-04 | Rep | Dealing in securities | 2010-12-31 | 2012-07-04 |
| 11 | MUSHK Limited | Rep | Dealing in futures contracts | 2008-05-28 | 2010-12-30 | Rep | Dealing in securities | 2008-05-28 | 2010-12-30 |
| 12 | PHILLIP COMMODITIES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2006-12-29 | 2007-07-08 |
| 13 | PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2006-12-29 | 2007-07-08 |
| 14 | TOKAI TOKYO SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2016-06-24 | 2019-08-02 | Rep | Advising on securities | 2016-08-19 | 2019-08-02 | Rep | Dealing in futures contracts | 2016-08-19 | 2019-08-02 |
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