SFC Licences of LAU Ka Yip, Eddy 劉家業

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

Institution Role Licences Start date End date
CLSA Premium International (HK) Limited RO 3 23 September 2019 31 May 2023
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RO 4 27 December 2018
CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 RO 2 03 May 2012
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RO 1 03 May 2012
CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 RE 2 27 March 2012 03 May 2012
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RE 1 27 March 2012 03 May 2012
ICBC International Asset Management Limited 工銀國際資產管理有限公司 RO 9 09 June 2011 21 March 2012
ICBC International Fund Management Limited 工銀國際基金管理有限公司 RO 9 09 June 2011 21 March 2012
ICBC International Fund Management Limited 工銀國際基金管理有限公司 RO 1 09 June 2011 21 March 2012
ICBC International Futures Limited 工銀國際期貨有限公司 RO 2 09 June 2011 21 March 2012
ICBC International Securities Limited 工銀國際證券有限公司 RO 1 09 June 2011 21 March 2012
ICBC International Asset Management Limited 工銀國際資產管理有限公司 RE 9 16 May 2011 09 June 2011
ICBC International Fund Management Limited 工銀國際基金管理有限公司 RE 9 16 May 2011 09 June 2011
ICBC International Futures Limited 工銀國際期貨有限公司 RE 2 16 May 2011 09 June 2011
ICBC International Securities Limited 工銀國際證券有限公司 RE 1 16 May 2011 09 June 2011
China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 RO 9 13 October 2009 03 May 2011
China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 RE 9 20 March 2008 13 October 2009
China Everbright Forex & Futures (HK) Limited 中國光大外匯、期貨(香港)有限公司 RO 2 08 January 2008 03 May 2011
China Everbright Forex & Futures (HK) Limited 中國光大外匯、期貨(香港)有限公司 RE 3 01 November 2007 03 May 2011
China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 RO 1 05 July 2007 03 May 2011
China Everbright Forex & Futures (HK) Limited 中國光大外匯、期貨(香港)有限公司 RE 2 05 June 2007 08 January 2008
China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 RE 1 15 January 2007 05 July 2007
GT Capital Limited 高富金融有限公司 RE 1 27 November 2006 15 December 2006
Sinofortune Securities Limited 華億證券有限公司 RE 4 01 September 2006 26 October 2006
Sinofortune Securities Limited 華億證券有限公司 RE 1 01 September 2006 26 October 2006
Yue Xiu Futures Company Limited 越秀期貨有限公司 RE 5 01 September 2006 26 October 2006
Yue Xiu Futures Company Limited 越秀期貨有限公司 RE 2 01 September 2006 26 October 2006
GT Capital Limited 高富金融有限公司 RO 4 24 July 2006 31 August 2006
GT Capital Limited 高富金融有限公司 RO 1 24 July 2006 31 August 2006
GT Capital Limited 高富金融有限公司 RO 5 03 March 2006 31 August 2006
GT Capital Limited 高富金融有限公司 RO 2 03 March 2006 31 August 2006
GT Capital Limited 高富金融有限公司 RO 9 29 September 2005 31 August 2006