SFC Licences of LAU Kwok Ho 劉國豪

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

Institution Role Licences Start date End date
Guotai Junan Capital Limited 國泰君安融資有限公司 RO 6 02 January 2013 04 June 2013
Guotai Junan Capital Limited 國泰君安融資有限公司 RE 6 12 November 2012 02 January 2013
South West Capital Limited 西南融資有限公司 RO 6 07 June 2012 25 October 2012
Fulbright Capital Limited 富昌融資有限公司 RO 6 14 June 2011 24 May 2012
Guotai Junan Capital Limited 國泰君安融資有限公司 RE 6 17 April 2007 10 September 2010
RHB Capital Hong Kong Limited 興業金融融資有限公司 RE 6 19 April 2004 16 March 2007
Cepa Alliance Securities Limited 世博證券有限公司 RE 1 01 April 2003 23 September 2003
Cepa Alliance Securities Limited 世博證券有限公司 RE 6 01 April 2003 12 August 2003
Cepa Alliance Securities Limited 世博證券有限公司 RE 7 01 April 2003 21 July 2003