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
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
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司
RE 2 30 October 2012
KGI Asia Limited 凱基證券亞洲有限公司
RE 1 30 October 2012 02 October 2017
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 4, 6, 9 01 April 2003 19 July 2004