Lau, On Hong 劉安康
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 | GF FUTURES (HONG KONG) CO., LIMITED | Rep | Dealing in futures contracts | 2007-06-12 | 2009-02-04 | RO | Dealing in futures contracts | 2009-02-04 | 2010-07-08 |
| 2 | GF Securities (Hong Kong) Brokerage Limited | RO | Dealing in securities | 2007-01-31 | 2010-07-08 |
| 3 | GUOYUAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2013-03-11 | 2013-04-02 | RO | Dealing in futures contracts | 2013-04-02 | 2014-08-31 |
| 4 | GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED | Rep | Dealing in securities | 2013-03-11 | 2013-04-02 | RO | Dealing in securities | 2013-04-02 | 2014-08-31 |
| 5 | KINGSWAY FINANCIAL SERVICES GROUP LIMITED | Rep | Dealing in futures contracts | 2005-03-29 | 2005-05-24 | Rep | Dealing in securities | 2005-03-29 | 2005-05-24 | RO | Dealing in futures contracts | 2005-05-24 | 2007-01-01 | RO | Dealing in securities | 2005-05-24 | 2007-01-01 |
| 6 | MAGIC COMPASS SECURITIES LIMITED | RO | Advising on securities | 2024-01-31 | RO | Asset management | 2024-01-31 | RO | Dealing in futures contracts | 2024-01-31 | RO | Dealing in securities | 2024-01-31 |
| 7 | ORIENT FUTURES (HONG KONG) LIMITED | RO | Dealing in futures contracts | 2011-02-28 | 2013-02-27 |
| 8 | ORIENT SECURITIES (HONG KONG) LIMITED | RO | Dealing in securities | 2010-07-21 | 2013-02-27 | RO | Advising on securities | 2012-04-13 | 2013-02-27 |
| 9 | Phoenician Limited (HK) | Rep | Advising on securities | 2021-10-27 | 2021-11-03 | Rep | Asset management | 2021-10-27 | 2021-11-03 | RO | Advising on securities | 2021-11-03 | 2022-07-28 | RO | Asset management | 2021-11-03 | 2022-07-28 |
| 10 | Phoenician Securities Limited | Rep | Dealing in securities | 2021-10-27 | 2021-11-03 | RO | Dealing in securities | 2021-11-03 | 2022-07-28 |
| 11 | Polaris Capital (Asia) Limited | Rep | Dealing in securities | 2003-11-06 | 2005-03-04 |
| 12 | ROYAL MORGAN FUND MANAGEMENT CO. LIMITED | Rep | Advising on securities | 2022-08-10 | 2022-11-02 | Rep | Asset management | 2022-08-10 | 2022-11-02 | Rep | Dealing in securities | 2022-08-10 | 2022-11-02 | RO | Advising on securities | 2022-11-02 | 2023-03-23 | RO | Asset management | 2022-11-02 | 2023-03-23 | RO | Dealing in securities | 2022-11-02 | 2023-03-23 |
| 13 | Sunwah Kingsway Leasing and Finance Limited | Rep | Dealing in futures contracts | 2005-03-29 | 2005-05-24 | RO | Dealing in futures contracts | 2005-05-24 | 2005-11-30 |
| 14 | TIANDA ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2020-12-24 | 2021-03-02 | Rep | Asset management | 2020-12-24 | 2021-03-02 | RO | Advising on securities | 2021-03-02 | 2021-10-17 | RO | Asset management | 2021-03-02 | 2021-10-17 |
| 15 | TIANDA SECURITIES LIMITED | Rep | Dealing in securities | 2020-12-24 | 2021-03-02 | RO | Dealing in securities | 2021-03-02 | 2021-10-17 | RO | Advising on securities | 2021-09-09 | 2021-10-17 |
| 16 | Yuanta Asia Investment (Hong Kong) Limited | Rep | Advising on futures contracts | 2003-10-07 | 2004-07-05 | Rep | Dealing in futures contracts | 2003-10-07 | 2004-07-05 | Rep | Dealing in securities | 2003-10-07 | 2004-07-05 | RO | Advising on futures contracts | 2004-07-05 | 2005-03-24 | RO | Dealing in futures contracts | 2004-07-05 | 2005-03-24 | RO | Dealing in securities | 2004-07-05 | 2005-03-24 |
| 17 | ZHONGCAI ASSET MANAGEMENT LIMITED | RO | Advising on securities | 2016-02-16 | 2020-11-20 | RO | Asset management | 2016-02-16 | 2020-11-20 | RO | Dealing in securities | 2016-02-16 | 2020-11-20 |
| 18 | Zhongcai Securities Limited | RO | Dealing in securities | 2014-12-19 | 2020-11-20 |
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