SFC Licences of LAU Yiu Wai 劉耀威

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

Institution Role Licences Start date End date
Base Asset Management Limited 碁石資產管理有限公司 RE 9 27 October 2023 29 February 2024
Base Asset Management Limited 碁石資產管理有限公司 RE 4 27 October 2023 29 February 2024
Motto Global Asset Management Limited 銘基環球資產管理有限公司 RO 4 03 February 2023 05 June 2023
Motto Global Asset Management Limited 銘基環球資產管理有限公司 RO 9 26 February 2019 05 June 2023
Kaiser Securities Limited 嘉信証券有限公司 RO 1 26 June 2017 09 April 2018
Kaiser Capital Management Limited 嘉信資本管理有限公司 RO 9 09 March 2017 09 April 2018
Kaiser Capital Management Limited 嘉信資本管理有限公司 RO 4 09 March 2017 09 April 2018
China Hong Kong Capital Asset Management Company Limited 中港金融資產管理有限公司 RO 9 24 August 2016 06 October 2016
China Hong Kong Capital Asset Management Company Limited 中港金融資產管理有限公司 RO 1 24 August 2016 06 October 2016
China Hong Kong Capital Asset Management Company Limited 中港金融資產管理有限公司 RE 9 18 August 2016 24 August 2016
China Hong Kong Capital Asset Management Company Limited 中港金融資產管理有限公司 RE 1 18 August 2016 24 August 2016
StormHarbour Securities (Hong Kong) Limited 思博資本(香港) 有限公司 RO 9 23 June 2016 15 August 2016
StormHarbour Securities (Hong Kong) Limited 思博資本(香港) 有限公司 RO 4 23 June 2016 15 August 2016
StormHarbour Securities (Hong Kong) Limited 思博資本(香港) 有限公司 RO 1 23 June 2016 15 August 2016
Superactive Financial Group Company Limited 先機金融集團有限公司 RO 9 12 June 2015 22 June 2016
Superactive Financial Group Company Limited 先機金融集團有限公司 RO 5 12 June 2015 22 June 2016
Superactive Financial Group Company Limited 先機金融集團有限公司 RO 4 12 June 2015 22 June 2016
China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 RO 4 18 July 2014 05 June 2015
China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 RO 1 18 July 2014 05 June 2015
China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 RO 9 23 November 2012 05 June 2015
China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 RE 4 23 November 2012 18 July 2014
China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 RE 1 23 November 2012 18 July 2014
China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 RO 9 25 July 2012 05 June 2015
China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 RE 4 04 July 2012 05 June 2015
China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 RE 1 04 July 2012 05 June 2015
China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 RE 9 04 July 2012 25 July 2012
Haitong International Asset Management (HK) Limited 海通國際資產管理(香港)有限公司 RO 9 19 March 2010 01 March 2012
Haitong International Asset Management (HK) Limited 海通國際資產管理(香港)有限公司 RO 5 19 March 2010 01 March 2012
Haitong International Asset Management (HK) Limited 海通國際資產管理(香港)有限公司 RO 4 19 March 2010 01 March 2012
Haitong International Investment Managers Limited 海通國際投資經理有限公司 RO 1 26 February 2009 01 March 2012
Haitong International Investment Managers Limited 海通國際投資經理有限公司 RO 9 16 March 2007 01 March 2012
Haitong International Investment Managers Limited 海通國際投資經理有限公司 RO 4 16 March 2007 01 March 2012
CMS Capital (HK) Co., Limited 招商資本(香港)有限公司 RO 9 06 May 2004 08 January 2010
CMS Capital (HK) Co., Limited 招商資本(香港)有限公司 RO 4 06 May 2004 08 January 2010
Haitong International Asset Management Limited 海通國際資產管理有限公司 RO 4 01 April 2003 01 March 2012
Haitong International Asset Management Limited 海通國際資產管理有限公司 RO 5 01 April 2003 01 March 2012
Haitong International Asset Management Limited 海通國際資產管理有限公司 RO 9 01 April 2003 01 March 2012