Lau, Derrick Wang Yip 劉宏業

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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 China Galaxy International Asset Management (Hong Kong) Co., Limited RO Advising on securities 2013-02-25 2022-09-13
RO Asset management 2013-02-25 2022-09-13
2 China Galaxy International Futures (Hong Kong) Co., Limited RO Dealing in futures contracts 2017-09-21 2022-09-13
3 China Galaxy International Securities (Hong Kong) Co., Limited RO Dealing in securities 2011-09-12 2022-09-13
RO Advising on securities 2012-03-13 2022-09-13
RO Advising on corporate finance 2012-07-23 2022-09-13
4 PIPER JAFFRAY ASIA LIMITED RO Advising on corporate finance 2005-06-17 2011-04-07
RO Dealing in securities 2005-06-17 2011-04-07
5 PIPER JAFFRAY ASIA SECURITIES LIMITED RO Advising on securities 2007-04-03 2011-04-07
RO Dealing in securities 2007-04-03 2011-04-07
6 Polaris Capital (Asia) Limited RO Advising on corporate finance 2005-01-12
RO Dealing in securities 2005-01-12
7 Yuanta Asia Investment (Hong Kong) Limited RO Advising on corporate finance 2004-11-04

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