Lau, Lynch 劉念慈
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 | BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED | Rep | Dealing in securities | 2005-04-13 | 2007-07-13 | Rep | Advising on futures contracts | 2005-05-09 | 2007-07-13 | Rep | Advising on securities | 2005-05-09 | 2007-07-13 | Rep | Asset management | 2005-05-09 | 2007-07-13 |
| 2 | KGI ASIA LIMITED | Rep | Advising on corporate finance | 2004-06-02 | Rep | Advising on securities | 2004-06-02 | Rep | Asset management | 2004-06-02 | Rep | Dealing in securities | 2004-12-24 |
| 3 | KGI FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2004-06-02 | Rep | Asset management | 2004-06-02 | Rep | Dealing in futures contracts | 2004-12-24 |
| 4 | KGI SECURITIES (HONG KONG) LIMITED | Rep | Automated trading services | 2003-07-21 | Rep | Advising on corporate finance | 2004-06-02 | Rep | Advising on securities | 2004-06-02 | Rep | Asset management | 2004-06-02 | Rep | Dealing in securities | 2004-12-24 |
| 5 | KINGSWAY FINANCIAL SERVICES GROUP LIMITED | Rep | Dealing in futures contracts | 2004-12-29 | 2005-03-17 | Rep | Dealing in securities | 2004-12-29 | 2005-03-17 |
| 6 | Nomura Asset Management Hong Kong Limited | Rep | Advising on securities | 2007-08-01 | 2023-06-01 | Rep | Asset management | 2007-08-01 | 2023-06-01 | RO | Dealing in securities | 2014-07-04 | 2023-06-01 |
| 7 | Sunwah Kingsway Leasing and Finance Limited | Rep | Dealing in futures contracts | 2004-12-29 | 2005-03-17 |
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