SFC Licences of LAU Shek Yuen, Simon 劉錫源

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

Institution Role Licences Start date End date
Aurora Borealis Investment Services Limited 北極光證券投資服務有限公司 RO 9 18 May 2016
Aurora Borealis Investment Services Limited 北極光證券投資服務有限公司 RO 4 18 May 2016
Aurora Borealis Investment Services Limited 北極光證券投資服務有限公司 RO 1 18 May 2016
CIS Securities Asset Management Limited 順安證券資產管理有限公司 RO 9 23 April 2013 05 May 2016
CIS Securities Asset Management Limited 順安證券資產管理有限公司 RE 9 04 February 2013 23 April 2013
CIS Securities Asset Management Limited 順安證券資產管理有限公司 RO 2 21 December 2011 05 May 2016
OnePlatform Asset Management Limited 環一資產管理有限公司 RE 9 11 June 2010 13 March 2014
OnePlatform Asset Management Limited 環一資產管理有限公司 RO 1 01 April 2010 13 March 2014
CIS Securities Asset Management Limited 順安證券資產管理有限公司 RO 4 24 December 2008 05 May 2016
CIS Securities Asset Management Limited 順安證券資產管理有限公司 RE 2 24 December 2008 21 December 2011
CIS Securities Asset Management Limited 順安證券資產管理有限公司 RO 1 07 December 2007 05 May 2016
Hua Nan Securities (HK) Limited 華南永昌證券(香港)有限公司 RO 1 08 February 2005 06 July 2007
Hua Nan Securities (HK) Limited 華南永昌證券(香港)有限公司 RE 1 03 February 2005 08 February 2005
Beijing Securities Limited 北京證券有限公司 RO 1 26 April 2004 03 February 2005
Beijing Securities Limited 北京證券有限公司 RE 1 21 April 2004 26 April 2004
Fuhwa Securities (Hong Kong) Co., Limited 復華證券(香港)有限公司 RO 1 01 April 2003 08 March 2004