SFC Licences of LAU Yuen Ling, Pauline 劉宛玲

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

Institution Role Licences Start date End date
Aesop Asset Management Limited 晉灃資產管理有限公司 RO 9 07 June 2017
Aesop Asset Management Limited 晉灃資產管理有限公司 RO 4 07 June 2017
Wise Torch Investments Limited 火炬金融有限公司 RE 4 20 March 2017 01 June 2017
Wise Torch Investments Limited 火炬金融有限公司 RO 9 30 November 2016 01 June 2017
Wise Torch Investments Limited 火炬金融有限公司 RO 4 30 November 2016 20 March 2017
Hongkong Bay Asset Management Limited 港湾资產管理有限公司 RE 9 18 April 2016 29 November 2016
Hongkong Bay Asset Management Limited 港湾资產管理有限公司 RE 4 18 April 2016 29 November 2016
BSI Investment Advisors (Hong Kong) Limited 瑞意投資顧問(香港)有限公司 RE 4 06 December 2010 31 January 2014
BSI Investment Advisors (Hong Kong) Limited 瑞意投資顧問(香港)有限公司 RE 1 06 December 2010 31 January 2014
BSI Investment Advisors (Hong Kong) Limited 瑞意投資顧問(香港)有限公司 RE 9 06 December 2010 19 October 2011
LBN Advisers Limited 利邦投資顧問有限公司 RE 9 09 October 2009 19 April 2010
GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 RE 9 15 April 2009 18 September 2009
GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 RE 4 15 April 2009 18 September 2009
Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 RE 9 19 October 2006 31 December 2008
Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 RE 5 19 October 2006 31 December 2008
Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 RE 4 24 August 2006 31 December 2008
Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 RE 4 24 February 2004 11 August 2006
Kingsway Financial Services Group Limited 滙富金融服務有限公司 RE 4 28 August 2003 28 January 2004
Mason Securities Limited 茂宸證券有限公司 RE 9 01 April 2003 06 June 2003
Mason Securities Limited 茂宸證券有限公司 RE 6 01 April 2003 06 June 2003
Mason Securities Limited 茂宸證券有限公司 RE 4 01 April 2003 06 June 2003