Lau, Siu Man (SFC:ACV996) 劉紹文
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 | CLSA RESEARCH LIMITED | Rep | Advising on securities | 2004-07-06 | |
| 2 | Credit Suisse (Hong Kong) Limited | Rep | Advising on securities | 2004-07-09 | 2014-03-04 |
| 3 | HSBC BROKING FOREX (ASIA) LIMITED | Rep | Leveraged foreign exchange trading | 2014-06-30 | 2015-07-20 |
| 4 | HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2014-06-30 | 2015-07-20 |
| 5 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2014-06-30 | Rep | Advising on securities | 2016-07-22 | 2016-12-01 | RO | Advising on securities | 2016-12-01 |
| 6 | HSBC BROKING SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2014-06-30 | 2016-07-01 |
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