SFC Licences of LAU Siu Man 劉紹文
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 | RO | 4 | 01 December 2016 | |
HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 | RE | 4 | 22 July 2016 | 01 December 2016 |
HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 | RE | 1 | 30 June 2014 | 01 July 2016 |
HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 | RE | 3 | 30 June 2014 | 20 July 2015 |
HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 | RE | 2 | 30 June 2014 | 20 July 2015 |
HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 | RE | 1 | 30 June 2014 | |
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 4 | 09 July 2004 | 04 March 2014 |
CLSA Research Limited 里昂證券投資研究有限公司 | RE | 4 | 01 April 2003 | 06 July 2004 |