Lau, Chak Lam (SFC:ABU297) 劉澤林
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 | Bright Fund Management Limited | Rep | Asset management | 2011-08-01 | 2012-06-21 |
| 2 | CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2008-05-13 | 2012-06-21 |
| 3 | CES Forex (HK) Limited | Rep | Leveraged foreign exchange trading | 2011-03-03 | 2012-06-21 |
| 4 | DELTA ASIA FINANCIAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2012-07-04 | 2012-09-14 | RO | Advising on futures contracts | 2012-09-14 | 2015-08-06 | RO | Dealing in futures contracts | 2012-09-14 | 2015-08-06 |
| 5 | DELTA ASIA SECURITIES LIMITED | Rep | Advising on securities | 2012-07-04 | 2012-09-14 | Rep | Dealing in securities | 2012-07-04 | 2012-09-14 | Rep | Leveraged foreign exchange trading | 2012-07-04 | 2013-02-28 | RO | Advising on securities | 2012-09-14 | 2015-08-06 | RO | Dealing in securities | 2012-09-14 | 2015-08-06 | RO | Leveraged foreign exchange trading | 2013-02-28 | 2015-08-06 |
| 6 | Delta Asia Wealth Management Limited | Rep | Asset management | 2012-07-04 | 2012-08-01 | RO | Advising on securities | 2012-08-01 | 2015-08-06 | RO | Asset management | 2012-08-01 | 2015-08-06 |
| 7 | Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2008-03-25 | 2012-06-21 | Rep | Advising on securities | 2008-07-17 | 2012-06-21 |
| 8 | HANTEC WEALTH MANAGEMENT COMPANY LIMITED | RO | Advising on securities | 2022-06-02 | RO | Asset management | 2022-06-02 |
| 9 | PEGASUS FUND MANAGERS LIMITED | Rep | Advising on securities | 2008-02-22 | Rep | Asset management | 2008-02-22 |
| 10 | Sun Growth Asset Management Limited | RO | Advising on securities | 2018-07-25 | 2019-07-29 | RO | Asset management | 2018-07-25 | 2019-07-29 |
| 11 | SUN GROWTH SECURITIES LIMITED | Rep | Dealing in securities | 2017-10-11 | 2017-12-22 | RO | Dealing in securities | 2017-12-22 | 2019-07-29 |
| 12 | TIANDA ASSET MANAGEMENT LIMITED | RO | Asset management | 2015-10-30 | 2017-07-20 | Rep | Asset management | 2019-08-26 | 2019-09-24 | RO | Asset management | 2019-09-24 | 2020-10-30 | RO | Advising on securities | 2020-06-18 | 2020-10-30 |
| 13 | TIANDA SECURITIES LIMITED | RO | Dealing in futures contracts | 2015-08-26 | 2017-07-20 | RO | Dealing in securities | 2015-08-26 | 2017-07-20 | RO | Dealing in securities | 2019-11-22 | 2020-10-30 | RO | Advising on securities | 2020-06-30 | 2020-10-30 |
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