Lau, Vivian Hoi Yee 劉凱宜
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 | DBS VICKERS (HONG KONG) LIMITED | Rep | Dealing in securities | 2011-12-28 | 2018-11-09 | Rep | Dealing in futures contracts | 2012-02-06 | 2018-11-09 |
| 2 | ICBC INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2018-12-04 | 2023-10-31 |
| 3 | ICBC INTERNATIONAL SECURITIES LIMITED | Rep | Dealing in securities | 2018-12-04 | 2023-10-31 | Rep | Advising on securities | 2019-10-16 | 2023-10-31 |
| 4 | MIB SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2005-03-04 | 2007-11-11 |
| 5 | Newedge Broker Limited | Rep | Automated trading services | 2008-01-03 | 2009-06-15 | Rep | Dealing in securities | 2008-01-03 | 2009-06-15 |
| 6 | PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | Dealing in securities | 2010-01-19 | 2011-11-26 |
| 7 | SG Asset Finance (Hong Kong) Limited | Rep | Dealing in securities | 2008-10-13 | 2009-06-15 |
| 8 | STOCKWELL SECURITIES LIMITED | Rep | Dealing in securities | 2005-02-04 | 2005-02-28 |
| 9 | T.F.S. Derivatives HK Limited | Rep | Dealing in securities | 2009-11-23 | 2009-12-04 |
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