Law, Sheung Pui 羅尚沛
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 | BOCOM International Holdings Company Limited | Rep | Advising on securities | 2005-06-28 | 2006-08-20 |
| 2 | CASH ASSET MANAGEMENT LIMITED | Rep | Asset management | 2009-05-21 | 2011-02-22 |
| 3 | CELESTIAL COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2009-07-27 | 2011-02-22 |
| 4 | CELESTIAL SECURITIES LIMITED | Rep | Dealing in securities | 2006-09-25 | 2011-02-22 |
| 5 | China Galaxy International Futures (Hong Kong) Co., Limited | Rep | Dealing in futures contracts | 2013-12-09 | |
| 6 | China Galaxy International Securities (Hong Kong) Co., Limited | Rep | Dealing in securities | 2012-01-09 | |
| 7 | CIS SECURITIES ASSET MANAGEMENT LIMITED | Rep | Dealing in futures contracts | 2011-02-28 | 2011-10-03 | Rep | Dealing in securities | 2011-02-28 | 2011-10-03 |
| 8 | Glory Sun Securities Limited | Rep | Dealing in securities | 2011-11-15 | 2012-01-01 |
| 9 | SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED | Rep | Advising on corporate finance | 2004-04-02 | Rep | Advising on securities | 2004-07-06 | RO | Advising on securities | 2004-07-06 | 2005-02-07 | Rep | Advising on securities | 2005-02-07 | 2005-03-10 | RO | Advising on securities | 2005-03-10 | 2005-06-23 |
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