Lau, King Yuen 劉敬元
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 | AISANCE ASSET MANAGEMENT LIMITED | RO | Dealing in futures contracts | 2003-12-09 | 2008-06-21 |
2 | CITIC Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2008-07-16 | 2008-07-31 | RO | Dealing in securities | 2008-07-31 | 2017-06-30 |
3 | CITIC Securities Futures (HK) Limited | Rep | Dealing in futures contracts | 2008-07-16 | 2008-07-31 | RO | Dealing in futures contracts | 2008-07-31 | 2017-06-30 |
4 | Huayu Securities Limited | Rep | Dealing in securities | 2020-09-24 | 2020-10-29 | RO | Advising on securities | 2020-10-29 | RO | Dealing in securities | 2020-10-29 |
5 | KGI ASIA LIMITED | Rep | Advising on corporate finance | 2003-12-06 | Rep | Advising on securities | 2003-12-06 | Rep | Asset management | 2003-12-06 | Rep | Dealing in securities | 2003-12-08 | RO | Dealing in securities | 2003-12-08 | 2008-06-21 |
6 | KGI FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2003-12-06 | Rep | Asset management | 2003-12-06 | Rep | Dealing in futures contracts | 2003-12-08 | RO | Dealing in futures contracts | 2003-12-08 | 2008-06-21 |
7 | KGI SECURITIES (HONG KONG) LIMITED | Rep | Automated trading services | 2003-07-21 | Rep | Advising on corporate finance | 2003-12-06 | Rep | Advising on securities | 2003-12-06 | Rep | Asset management | 2003-12-06 | Rep | Dealing in securities | 2003-12-08 | RO | Dealing in securities | 2003-12-08 | 2008-06-21 |
8 | Rifa Futures Limited | Rep | Dealing in futures contracts | 2017-11-15 | 2018-02-07 | RO | Dealing in futures contracts | 2018-02-07 | 2020-08-31 |
9 | Rifa Securities Limited | Rep | Dealing in securities | 2017-11-15 | 2018-02-07 | RO | Dealing in securities | 2018-02-07 | 2020-08-31 |
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