Lau, Pak Sun 劉栢燊
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 | Yuanta Securities (Hong Kong) Company Limited | Rep | Advising on securities | 2013-07-19 | 2014-04-24 | Rep | Dealing in securities | 2013-07-19 | 2014-04-24 | Rep | Advising on corporate finance | 2014-02-04 | 2014-04-24 |
| 2 | SOUTHWEST SECURITIES (HK) CAPITAL LIMITED | Rep | Dealing in securities | 2020-03-16 | 2020-05-26 | Rep | Advising on corporate finance | 2020-03-16 | 2022-10-03 | RO | Dealing in securities | 2020-05-26 | 2022-10-03 |
| 3 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2020-03-16 | 2020-05-26 | Rep | Advising on securities | 2020-03-16 | 2022-10-03 | RO | Dealing in securities | 2020-05-26 | 2022-10-03 |
| 4 | SINOLINK SECURITIES (HONG KONG) COMPANY LIMITED | Rep | Dealing in securities | 2016-11-16 | 2017-05-23 | Rep | Advising on corporate finance | 2017-02-28 | 2020-02-21 | Rep | Advising on securities | 2017-02-28 | 2020-02-21 | RO | Dealing in securities | 2017-05-23 | 2020-02-21 |
| 5 | KGI FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-05-23 | 2011-05-14 |
| 6 | KGI ASIA LIMITED | Rep | Dealing in securities | 2008-05-23 | 2011-05-14 |
| 7 | Funderstone Securities Limited | Rep | Dealing in securities | 2012-08-08 | 2013-01-31 |
| 8 | Funderstone Futures Limited | Rep | Dealing in futures contracts | 2012-08-08 | 2013-01-31 |
| 9 | Everbright Securities Investment Services (HK) Limited | Rep | Advising on securities | 2011-09-09 | 2012-07-24 | Rep | Dealing in securities | 2011-09-09 | 2012-07-24 |
| 10 | DELTA ASIA SECURITIES LIMITED | Rep | Dealing in securities | 2005-08-09 | 2005-11-07 |
| 11 | CIS SECURITIES ASSET MANAGEMENT LIMITED | Rep | Dealing in securities | 2015-01-12 | 2016-10-25 |
| 12 | CHINA INDUSTRIAL SECURITIES INTERNATIONAL CAPITAL LIMITED | Rep | Advising on corporate finance | 2014-04-30 | 2014-12-04 | Rep | Dealing in securities | 2014-04-30 | 2014-12-04 |
| 13 | ABCI Securities Company Limited | Rep | Dealing in securities | 2011-05-30 | 2011-08-22 |
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