Lau, Ming Fai (SFC:AEH948) 劉明暉
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 | BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED | Rep | Dealing in securities | 2005-04-19 | 2006-03-17 | Rep | Advising on futures contracts | 2005-05-12 | 2006-03-17 | Rep | Advising on securities | 2005-05-12 | 2006-03-17 | Rep | Asset management | 2005-05-12 | 2006-03-17 |
| 2 | FT Securities Limited | Rep | Dealing in securities | 2005-01-28 | 2005-04-12 |
| 3 | HANG SENG FUTURES LIMITED | Rep | Advising on futures contracts | 2003-12-23 | 2005-01-19 | Rep | Dealing in futures contracts | 2003-12-23 | 2005-01-19 |
| 4 | HANG SENG INVESTMENT SERVICES LIMITED | Rep | Advising on corporate finance | 2003-11-05 | Rep | Asset management | 2004-12-03 | Rep | Advising on securities | 2005-01-19 |
| 5 | JEFFERIES BACHE (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2005-01-28 | 2005-04-12 |
| 6 | RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED | Rep | Advising on securities | 2008-05-16 | 2009-10-01 | Rep | Asset management | 2008-05-16 | 2009-10-01 | Rep | Dealing in securities | 2008-05-16 | 2009-10-01 |
| 7 | WM (HK) Limited | Rep | Advising on securities | 2006-03-31 | 2008-05-16 | Rep | Asset management | 2006-03-31 | 2008-05-16 | Rep | Dealing in securities | 2006-03-31 | 2008-05-16 |
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