Lau, Lucia Tak Yee 劉德怡
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 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2019-07-22 | Rep | Dealing in securities | 2019-07-22 | Rep | Asset management | 2019-08-15 |
| 2 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | Rep | Advising on securities | 2019-07-22 | Rep | Dealing in securities | 2019-07-22 | Rep | Asset management | 2019-08-15 |
| 3 | Penjing Asset Management (HK) Limited | Rep | Advising on securities | 2006-09-20 | 2013-11-29 | Rep | Asset management | 2006-09-20 | 2013-11-29 |
| 4 | SAIL ADVISORS LIMITED | Rep | Advising on securities | 2013-12-16 | 2017-06-01 | Rep | Asset management | 2013-12-16 | 2017-06-01 |
| 5 | Yunfeng Financial Markets Limited | Rep | Advising on securities | 2017-07-31 | 2019-06-21 | Rep | Dealing in securities | 2017-07-31 | 2019-06-21 |
| 6 | Yunfeng Securities Limited | Rep | Advising on securities | 2017-07-31 | 2019-06-21 | Rep | Dealing in securities | 2017-07-31 | 2019-06-21 |
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