SFC Licences of LAU Yuk Ha 劉玉霞
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| KGI Asia Limited 凱基證券亞洲有限公司 | RE | 1 | 03 October 2017 | |
| KGI Asia Limited 凱基證券亞洲有限公司 | RE | 1 | 30 October 2012 | 02 October 2017 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 | RE | 2 | 30 October 2012 | |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 | RE | 1 | 28 June 2007 | 17 October 2012 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 | RE | 2 | 28 June 2007 | 19 May 2011 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 | RE | 2 | 07 September 2004 | 18 June 2007 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 | RE | 1 | 01 April 2003 | 18 June 2007 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 | RE | 6 | 01 April 2003 | 19 July 2004 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 | RE | 9 | 01 April 2003 | 19 July 2004 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 | RE | 4 | 01 April 2003 | 19 July 2004 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 | RE | 7 | 01 April 2003 | 11 September 2003 |