Lau, Kwok Hei 劉國熙
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 | 313 Capital Management Limited | Rep | Asset management | 2017-03-10 | 2017-10-27 |
| 2 | AA Investment Management Limited | RO | Advising on securities | 2023-01-03 | 2024-10-25 | RO | Asset management | 2023-01-03 | 2024-10-25 | RO | Dealing in securities | 2023-01-03 | 2024-10-25 |
| 3 | Ark Futures (Hong Kong) Limited | Rep | Dealing in futures contracts | 2010-11-29 | 2012-04-16 |
| 4 | Ark Group Holdings (Hong Kong) Limited | Rep | Advising on securities | 2021-08-27 | 2021-09-29 | Rep | Asset management | 2021-08-27 | 2021-09-29 | Rep | Dealing in securities | 2021-08-27 | 2021-09-29 | RO | Advising on securities | 2021-09-29 | 2022-03-04 | RO | Asset management | 2021-09-29 | 2022-03-04 | RO | Dealing in securities | 2021-09-29 | 2022-03-04 |
| 5 | Ark Securities (Hong Kong) Limited | Rep | Dealing in securities | 2010-11-29 | 2012-04-16 |
| 6 | Central China International Securities Co., Limited | Rep | Dealing in securities | 2015-08-10 | 2015-10-19 |
| 7 | EXCELLENT TIDE SECURITIES LIMITED | Rep | Dealing in securities | 2016-10-26 | 2016-12-21 | RO | Dealing in securities | 2016-12-21 | 2017-10-27 |
| 8 | FRONTIER CAPITAL MANAGEMENT LIMITED (HK) | Rep | Dealing in securities | 2015-10-28 | 2015-12-01 | RO | Dealing in securities | 2015-12-01 | 2016-10-22 |
| 9 | HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2007-04-11 | 2010-11-25 |
| 10 | HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2007-04-11 | 2010-11-25 | Rep | Leveraged foreign exchange trading | 2010-10-15 | 2010-11-25 |
| 11 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Advising on securities | 2025-02-10 | 2025-03-27 | Rep | Automated trading services | 2025-02-10 | 2025-03-27 | Rep | Dealing in futures contracts | 2025-02-10 | 2025-03-27 | Rep | Dealing in securities | 2025-02-10 | 2025-03-27 | RO | Advising on securities | 2025-03-27 | RO | Automated trading services | 2025-03-27 | RO | Dealing in futures contracts | 2025-03-27 | RO | Dealing in securities | 2025-03-27 |
| 12 | Kaisa Asset Management Limited | Rep | Asset management | 2017-11-28 | 2018-11-15 |
| 13 | Kaisa Financial Group Company Limited | Rep | Dealing in securities | 2017-11-28 | 2018-02-26 | RO | Dealing in securities | 2018-02-26 | 2018-11-15 |
| 14 | oOo Securities (HK) Group Limited | RO | Dealing in futures contracts | 2019-03-18 | 2019-05-30 | RO | Dealing in securities | 2019-03-18 | 2019-05-30 |
| 15 | SINOPAC ASSET MANAGEMENT (ASIA) LIMITED | Rep | Dealing in securities | 2014-09-29 | 2015-07-20 |
| 16 | SINOPAC FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2012-04-30 | 2014-03-31 |
| 17 | SINOPAC SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2012-04-30 | 2015-07-20 | Rep | Dealing in futures contracts | 2013-05-21 | 2015-07-20 |
| 18 | South China Futures Investment Limited | RO | Dealing in futures contracts | 2017-07-13 | 2017-10-27 |
| 19 | uSmart Securities Limited | Rep | Dealing in securities | 2019-07-09 | 2019-08-27 | RO | Dealing in securities | 2019-08-27 | 2021-06-15 | RO | Advising on securities | 2021-03-02 | 2021-06-15 | RO | Asset management | 2021-03-02 | 2021-06-15 |
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