Lau, Tsz Wing 劉子頴
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 | BEAR STEARNS ASIA LIMITED | Rep | Advising on futures contracts | 2008-08-15 | 2009-11-23 | Rep | Advising on securities | 2008-08-15 | 2009-11-23 | Rep | Dealing in futures contracts | 2008-08-15 | 2009-11-23 | Rep | Dealing in securities | 2008-08-15 | 2009-11-23 |
2 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED | Rep | Asset management | 2022-09-09 | |
3 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED | Rep | Advising on futures contracts | 2015-06-02 | 2016-09-13 | Rep | Dealing in futures contracts | 2015-06-02 | 2016-09-13 | RO | Advising on futures contracts | 2016-09-13 | RO | Dealing in futures contracts | 2016-09-13 |
4 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | Leveraged foreign exchange trading | 2015-06-02 | 2016-05-23 | Rep | Advising on securities | 2015-06-02 | 2016-12-05 | Rep | Dealing in securities | 2015-06-02 | 2016-12-05 | RO | Advising on futures contracts | 2016-09-13 | RO | Dealing in futures contracts | 2016-09-13 | RO | Advising on securities | 2016-12-05 | RO | Dealing in securities | 2016-12-05 |
5 | CICC US Securities (Hong Kong) Limited | Rep | Dealing in securities | 2018-10-23 | 2023-05-23 |
6 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2005-04-04 | 2015-04-30 | Rep | Advising on securities | 2005-04-04 | 2015-04-30 | Rep | Dealing in futures contracts | 2005-04-04 | 2015-04-30 | Rep | Dealing in securities | 2005-04-04 | 2015-04-30 |
7 | J.P. MORGAN SECURITIES (FAR EAST) LIMITED | Rep | Advising on securities | 2005-04-04 | 2012-05-23 | Rep | Dealing in securities | 2005-04-04 | 2012-05-23 | Rep | Advising on securities | 2013-05-15 | 2015-04-30 | Rep | Dealing in securities | 2013-05-15 | 2015-04-30 |
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