SFC Licences of LAU Siu Ki 劉紹基

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 RO 6 19 October 2017
Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 RO 1 19 October 2017
Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 RE 6 31 July 2017 30 October 2017
Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 RE 1 31 July 2017 30 October 2017
Orient Capital (Hong Kong) Limited 東方融資(香港)有限公司 RO 6 18 August 2016 01 June 2017
Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 RO 4 18 August 2016 01 June 2017
Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 RO 1 18 August 2016 01 June 2017
Orient Capital (Hong Kong) Limited 東方融資(香港)有限公司 RE 6 06 July 2016 18 August 2016
Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 RE 4 06 July 2016 18 August 2016
Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 RE 1 06 July 2016 18 August 2016
Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 RO 6 03 March 2009 24 May 2016
Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 RO 4 03 March 2009 24 May 2016
Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 RO 1 03 March 2009 24 May 2016
Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 RE 6 07 January 2009 03 March 2009
Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 RE 4 07 January 2009 03 March 2009
Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 RE 1 07 January 2009 03 March 2009
DBS Asia Capital Limited 星展亞洲融資有限公司 RO 6 01 April 2003 14 November 2008
DBS Asia Capital Limited 星展亞洲融資有限公司 RO 4 01 April 2003 14 November 2008
DBS Asia Capital Limited 星展亞洲融資有限公司 RO 1 01 April 2003 14 November 2008
DBS Asia Capital Limited 星展亞洲融資有限公司 RO 9 01 April 2003 28 January 2005