SFC Licences of LAU Lynch 劉念慈

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

Institution Role Licences Start date End date
Nomura Asset Management Hong Kong Limited 野村投資管理香港有限公司 RO 1 04 July 2014 01 June 2023
Nomura Asset Management Hong Kong Limited 野村投資管理香港有限公司 RE 9 01 August 2007 01 June 2023
Nomura Asset Management Hong Kong Limited 野村投資管理香港有限公司 RE 4 01 August 2007 01 June 2023
BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 RE 9 09 May 2005 13 July 2007
BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 RE 5 09 May 2005 13 July 2007
BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 RE 4 09 May 2005 13 July 2007
BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 RE 1 13 April 2005 13 July 2007
Sunwah Kingsway Futures Limited 新華滙富期貨有限公司 RE 2 29 December 2004 17 March 2005
Kingsway Financial Services Group Limited 滙富金融服務有限公司 RE 2 29 December 2004 17 March 2005
Kingsway Financial Services Group Limited 滙富金融服務有限公司 RE 1 29 December 2004 17 March 2005
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 RE 2 01 April 2003 24 December 2004
KGI Asia Limited 凱基證券亞洲有限公司 RE 1 01 April 2003 24 December 2004
KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 RE 1 01 April 2003 24 December 2004
KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 RE 4 01 April 2003 02 June 2004
KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 RE 6 01 April 2003 02 June 2004
KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 RE 9 01 April 2003 02 June 2004
KGI Asia Limited 凱基證券亞洲有限公司 RE 4 01 April 2003 02 June 2004
KGI Asia Limited 凱基證券亞洲有限公司 RE 6 01 April 2003 02 June 2004
KGI Asia Limited 凱基證券亞洲有限公司 RE 9 01 April 2003 02 June 2004
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 RE 9 01 April 2003 02 June 2004
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 RE 5 01 April 2003 02 June 2004
KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 RE 7 01 April 2003 21 July 2003