Lau, Tsz Wing 劉子頴

show old organisation names

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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