Lau, Yan Ting (SFC:BAX545) 劉欣庭
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 | CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2013-02-22 | 2014-05-23 |
| 2 | Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2013-02-22 | 2014-05-23 |
| 3 | KARL THOMSON INVESTMENT CONSULTANTS LIMITED | Rep | Advising on securities | 2017-03-06 | 2017-11-22 |
| 4 | KARL-THOMSON COMMODITIES COMPANY LIMITED | Rep | Dealing in futures contracts | 2014-06-06 | 2017-11-22 |
| 5 | KARL-THOMSON SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2014-06-06 | 2017-11-22 | Rep | Asset management | 2017-03-06 | 2017-11-22 |
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