Lau, Ka Pan 劉嘉斌
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 | ABCI Securities Company Limited | Rep | Dealing in securities | 2016-12-23 | 2019-12-20 | Rep | Advising on securities | 2017-09-04 | 2019-12-20 |
| 2 | CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2011-07-28 | 2012-06-30 |
| 3 | CES Forex (HK) Limited | Rep | Leveraged foreign exchange trading | 2011-07-28 | 2012-06-30 |
| 4 | CMB INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2016-05-25 | 2016-12-14 |
| 5 | CMB International Securities Limited | Rep | Dealing in securities | 2013-03-28 | 2016-12-14 |
| 6 | Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2011-07-28 | 2012-06-30 |
| 7 | SHENG YUAN ASSET MANAGEMENT LIMITED | Rep | Asset management | 2021-07-22 | |
| 8 | SHENG YUAN SECURITIES LIMITED | Rep | Advising on securities | 2021-07-22 | 2021-08-24 | Rep | Dealing in securities | 2021-07-22 | 2021-08-24 | RO | Advising on securities | 2021-08-24 | RO | Dealing in securities | 2021-08-24 | Rep | Dealing in futures contracts | 2021-10-19 | 2023-05-22 | RO | Dealing in futures contracts | 2023-05-22 |
| 9 | YUANYIN ASSET MANAGEMENT LIMITED | Rep | Asset management | 2020-09-04 | 2021-07-15 |
| 10 | YUANYIN SECURITIES LIMITED | Rep | Advising on securities | 2020-01-13 | 2020-03-06 | Rep | Dealing in securities | 2020-01-13 | 2020-03-06 | RO | Advising on securities | 2020-03-06 | 2021-07-15 | RO | Dealing in securities | 2020-03-06 | 2021-07-15 |
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