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