Lau, Hon Wai (SFC:ACI109) 劉漢威
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 VICKERS (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2010-12-17 | 2013-05-31 | Rep | Dealing in securities | 2010-12-17 | 2013-05-31 |
2 | EWARTON SECURITIES LIMITED | Rep | Dealing in securities | 2003-09-16 | 2005-08-22 |
3 | First Fidelity Capital (International) Limited | Rep | Advising on securities | 2016-09-09 | 2017-01-03 | Rep | Dealing in securities | 2016-09-09 | 2017-01-03 | RO | Advising on securities | 2017-01-03 | 2019-03-17 | RO | Dealing in securities | 2017-01-03 | 2019-03-17 |
4 | FULL WIN SECURITIES LIMITED | RO | Dealing in securities | 2019-12-06 | 2020-01-19 |
5 | Golden K2 Securities Limited | Rep | Dealing in securities | 2020-04-02 | 2020-05-28 | RO | Dealing in securities | 2020-05-28 | 2021-02-28 |
6 | Initial Capital Securities Limited | RO | Advising on securities | 2022-07-15 | RO | Asset management | 2022-07-15 | RO | Dealing in securities | 2022-07-15 |
7 | Maxcess Capital Limited | RO | Advising on securities | 2020-05-28 | 2021-02-28 | RO | Asset management | 2020-05-28 | 2021-02-28 |
8 | Solomon Capital Management Limited (HK) | Rep | Advising on securities | 2021-05-17 | 2021-07-19 | Rep | Asset management | 2021-05-17 | 2021-07-19 | Rep | Dealing in securities | 2021-05-17 | 2021-07-19 | RO | Advising on securities | 2021-07-19 | 2022-01-10 | RO | Asset management | 2021-07-19 | 2022-01-10 | RO | Dealing in securities | 2021-07-19 | 2022-01-10 |
9 | SUN GROWTH SECURITIES LIMITED | Rep | Advising on corporate finance | 2003-08-29 | Rep | Advising on securities | 2003-08-29 | Rep | Asset management | 2003-08-29 | Rep | Dealing in securities | 2003-08-29 |
10 | Yuanta Asia Investment (Hong Kong) Limited | Rep | Dealing in futures contracts | 2005-08-24 | 2010-12-15 | Rep | Dealing in securities | 2005-08-24 | 2010-12-15 |
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