Lau, Sum Yi 劉心怡
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 | iCapital Hong Kong Limited | Rep | Advising on securities | 2023-10-10 | 2023-10-11 | Rep | Dealing in securities | 2023-10-10 | 2023-10-11 | RO | Advising on securities | 2023-10-11 | RO | Dealing in securities | 2023-10-11 |
| 2 | PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED | Rep | Advising on securities | 2018-12-04 | 2021-11-12 | Rep | Dealing in securities | 2018-12-04 | 2021-11-12 |
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