Lau, Tsz Lung (SFC:AGJ950) 劉子龍
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 | CCTIC International Limited | RO | Asset management | 2016-08-02 | RO | Advising on securities | 2016-09-28 |
| 2 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Advising on futures contracts | 2006-01-17 | 2007-02-28 | Rep | Advising on securities | 2006-01-17 | 2007-02-28 | Rep | Asset management | 2006-01-17 | 2007-02-28 |
| 3 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | Rep | Dealing in securities | 2006-01-17 | 2007-02-28 |
| 4 | Legg Mason Asset Management Hong Kong Limited | Rep | Advising on corporate finance | 2004-08-09 | Rep | Advising on futures contracts | 2005-12-21 | Rep | Advising on securities | 2005-12-21 | Rep | Asset management | 2005-12-21 | Rep | Dealing in securities | 2005-12-01 | 2005-12-21 |
| 5 | Legg Mason International Equities (Hong Kong) Limited | Rep | Advising on corporate finance | 2004-08-09 | Rep | Advising on futures contracts | 2005-12-21 | Rep | Advising on securities | 2005-12-21 | Rep | Asset management | 2005-12-21 | Rep | Dealing in securities | 2005-12-21 |
| 6 | UBS SDIC Asset Management (Hong Kong) Company Limited | Rep | Advising on securities | 2014-01-27 | 2014-04-14 | Rep | Asset management | 2014-01-27 | 2014-04-14 | RO | Advising on securities | 2014-04-14 | 2015-07-17 | RO | Asset management | 2014-04-14 | 2015-07-17 |
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