Lau, Yiu Wai (SFC:ACI099) 劉耀威
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 | BASE ASSET MANAGEMENT LTD | Rep | Advising on securities | 2023-10-27 | 2024-02-29 | Rep | Asset management | 2023-10-27 | 2024-02-29 |
| 2 | CHINA EVERBRIGHT SECURITIES (HK) LIMITED | Rep | Asset management | 2012-07-04 | 2012-07-25 | Rep | Advising on securities | 2012-07-04 | 2015-06-05 | Rep | Dealing in securities | 2012-07-04 | 2015-06-05 | RO | Asset management | 2012-07-25 | 2015-06-05 |
| 3 | CHINA EVERBRIGHT SECURITIES ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2012-11-23 | 2014-07-18 | Rep | Dealing in securities | 2012-11-23 | 2014-07-18 | RO | Asset management | 2012-11-23 | 2015-06-05 | RO | Advising on securities | 2014-07-18 | 2015-06-05 | RO | Dealing in securities | 2014-07-18 | 2015-06-05 |
| 4 | China Hong Kong Capital Asset Management Company Limited | Rep | Asset management | 2016-08-18 | 2016-08-24 | Rep | Dealing in securities | 2016-08-18 | 2016-08-24 | RO | Asset management | 2016-08-24 | 2016-10-06 | RO | Dealing in securities | 2016-08-24 | 2016-10-06 |
| 5 | CMS CAPITAL (HK) CO., LIMITED | RO | Advising on securities | 2004-05-06 | 2010-01-08 | RO | Asset management | 2004-05-06 | 2010-01-08 |
| 6 | HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED | RO | Advising on futures contracts | 2010-03-19 | 2012-03-01 | RO | Advising on securities | 2010-03-19 | 2012-03-01 | RO | Asset management | 2010-03-19 | 2012-03-01 |
| 7 | HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED | RO | Advising on futures contracts | 2012-03-01 | RO | Advising on securities | 2012-03-01 | RO | Asset management | 2012-03-01 |
| 8 | HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED | RO | Advising on securities | 2007-03-16 | 2012-03-01 | RO | Asset management | 2007-03-16 | 2012-03-01 | RO | Dealing in securities | 2009-02-26 | 2012-03-01 |
| 9 | Ivy Pro Limited | RO | Advising on securities | 2024-08-23 | RO | Asset management | 2024-08-23 | RO | Dealing in securities | 2024-08-23 |
| 10 | KAISER CAPITAL MANAGEMENT LIMITED | RO | Advising on securities | 2017-03-09 | 2018-04-09 | RO | Asset management | 2017-03-09 | 2018-04-09 |
| 11 | KAISER SECURITIES LIMITED | RO | Dealing in securities | 2017-06-26 | 2018-04-09 |
| 12 | Motto Global Asset Management Limited | RO | Asset management | 2019-02-26 | 2023-06-05 | RO | Advising on securities | 2023-02-03 | 2023-06-05 |
| 13 | StormHarbour Securities (Hong Kong) Limited | RO | Advising on securities | 2016-06-23 | 2016-08-15 | RO | Asset management | 2016-06-23 | 2016-08-15 | RO | Dealing in securities | 2016-06-23 | 2016-08-15 |
| 14 | Superactive Financial Group Company Limited | RO | Advising on futures contracts | 2015-06-12 | 2016-06-22 | RO | Advising on securities | 2015-06-12 | 2016-06-22 | RO | Asset management | 2015-06-12 | 2016-06-22 |
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