Lau, Vincent Chi Kin (SFC:AHA572) 劉子堅
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 | BOCI ASIA LIMITED | Rep | Advising on corporate finance | 2007-04-12 | 2009-04-04 | Rep | Advising on corporate finance | 2013-06-17 | 2013-07-29 | RO | Advising on corporate finance | 2013-07-29 | 2017-09-19 |
2 | BOCOM International (Asia) Limited | Rep | Advising on corporate finance | 2018-04-17 | 2018-07-30 | RO | Advising on corporate finance | 2018-07-30 | 2021-05-12 | Rep | Dealing in securities | 2018-08-02 | 2021-05-12 |
3 | CCB INTERNATIONAL CAPITAL LIMITED | Rep | Advising on corporate finance | 2006-06-15 | 2007-04-03 | Rep | Dealing in securities | 2006-07-20 | 2007-04-03 |
4 | CHINA EVERBRIGHT CAPITAL LIMITED | Rep | Advising on corporate finance | 2009-09-25 | 2010-05-04 | RO | Advising on corporate finance | 2010-05-04 | 2013-01-31 |
5 | China Securities (International) Corporate Finance Company Limited | RO | Advising on corporate finance | 2013-04-08 | 2013-06-16 |
6 | China Sunrise Capital Limited | Rep | Advising on corporate finance | 2018-01-16 | 2018-03-12 | RO | Advising on corporate finance | 2018-03-12 | 2018-04-08 |
7 | CITIC Securities (Hong Kong) Limited | Rep | Advising on corporate finance | 2021-06-07 | 2021-08-18 | Rep | Advising on securities | 2021-08-10 | RO | Advising on corporate finance | 2021-08-18 |
8 | CLSA LIMITED | Rep | Dealing in securities | 2021-06-07 | 2021-08-18 | RO | Dealing in securities | 2021-08-18 |
9 | CORE PACIFIC-YAMAICHI CAPITAL LIMITED | Rep | Advising on corporate finance | 2004-06-21 | 2006-03-16 |
10 | KINGSWAY CAPITAL LIMITED | Rep | Advising on securities | 2004-01-05 | Rep | Asset management | 2004-01-05 | Rep | Advising on corporate finance | 2004-06-09 |
11 | Sino-Rich Securities & Futures Limited | Rep | Advising on corporate finance | 2009-08-05 | 2009-08-31 |
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