Lau, Eddy Ka Yip 劉家業
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 | YUE XIU FUTURES COMPANY LIMITED | Rep | Advising on futures contracts | 2006-09-01 | 2006-10-26 | Rep | Dealing in futures contracts | 2006-09-01 | 2006-10-26 |
| 2 | Sinofortune Securities Limited | Rep | Advising on securities | 2006-09-01 | 2006-10-26 | Rep | Dealing in securities | 2006-09-01 | 2006-10-26 |
| 3 | ICBC INTERNATIONAL SECURITIES LIMITED | Rep | Dealing in securities | 2011-05-16 | 2011-06-09 | RO | Dealing in securities | 2011-06-09 | 2012-03-21 |
| 4 | ICBC INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2011-05-16 | 2011-06-09 | RO | Dealing in futures contracts | 2011-06-09 | 2012-03-21 |
| 5 | ICBC INTERNATIONAL FUND MANAGEMENT LIMITED | Rep | Asset management | 2011-05-16 | 2011-06-09 | RO | Asset management | 2011-06-09 | 2012-03-21 | RO | Dealing in securities | 2011-06-09 | 2012-03-21 |
| 6 | ICBC INTERNATIONAL ASSET MANAGEMENT LIMITED | Rep | Asset management | 2011-05-16 | 2011-06-09 | RO | Asset management | 2011-06-09 | 2012-03-21 |
| 7 | GT CAPITAL LIMITED | RO | Asset management | 2005-09-29 | 2006-08-31 | RO | Advising on futures contracts | 2006-03-03 | 2006-08-31 | RO | Dealing in futures contracts | 2006-03-03 | 2006-08-31 | RO | Advising on securities | 2006-07-24 | 2006-08-31 | RO | Dealing in securities | 2006-07-24 | 2006-08-31 | Rep | Dealing in securities | 2006-11-27 | 2006-12-15 |
| 8 | CLSA Premium International (HK) Limited | RO | Leveraged foreign exchange trading | 2019-09-23 | 2023-05-31 |
| 9 | CITIC Securities Futures (HK) Limited | Rep | Dealing in futures contracts | 2012-03-27 | 2012-05-03 | RO | Dealing in futures contracts | 2012-05-03 |
| 10 | CITIC Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2012-03-27 | 2012-05-03 | RO | Dealing in securities | 2012-05-03 | RO | Advising on securities | 2018-12-27 |
| 11 | CHINA EVERBRIGHT SECURITIES (HK) LIMITED | Rep | Dealing in securities | 2007-01-15 | 2007-07-05 | RO | Dealing in securities | 2007-07-05 | 2011-05-03 | Rep | Asset management | 2008-03-20 | 2009-10-13 | RO | Asset management | 2009-10-13 | 2011-05-03 |
| 12 | CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED | Rep | Dealing in futures contracts | 2007-06-05 | 2008-01-08 | Rep | Leveraged foreign exchange trading | 2007-11-01 | 2011-05-03 | RO | Dealing in futures contracts | 2008-01-08 | 2011-05-03 |
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