Lau, Kelvin Siu Ki 劉紹基
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 | DBS ASIA CAPITAL LIMITED | RO | Asset management | 2005-01-28 | RO | Advising on corporate finance | 2008-11-14 | RO | Advising on securities | 2008-11-14 | RO | Dealing in securities | 2008-11-14 |
| 2 | GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED | Rep | Advising on corporate finance | 2017-07-31 | 2017-10-30 | Rep | Dealing in securities | 2017-07-31 | 2017-10-30 | RO | Advising on corporate finance | 2017-10-19 | RO | Dealing in securities | 2017-10-19 |
| 3 | MIZUHO SECURITIES ASIA LIMITED | Rep | Advising on corporate finance | 2009-01-07 | 2009-03-03 | Rep | Advising on securities | 2009-01-07 | 2009-03-03 | Rep | Dealing in securities | 2009-01-07 | 2009-03-03 | RO | Advising on corporate finance | 2009-03-03 | 2016-05-24 | RO | Advising on securities | 2009-03-03 | 2016-05-24 | RO | Dealing in securities | 2009-03-03 | 2016-05-24 |
| 4 | ORIENT CAPITAL (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2016-07-06 | 2016-08-18 | RO | Advising on corporate finance | 2016-08-18 | 2017-06-01 |
| 5 | ORIENT SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2016-07-06 | 2016-08-18 | Rep | Dealing in securities | 2016-07-06 | 2016-08-18 | RO | Advising on securities | 2016-08-18 | 2017-06-01 | RO | Dealing in securities | 2016-08-18 | 2017-06-01 |
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