SFC Licences of LAU Tin Chi, Joseph 劉天賜
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | RE | 4 | 24 November 2011 | 12 January 2013 |
| Merrill Lynch Far East Limited | RE | 2 | 06 September 2010 | 12 January 2013 |
| Merrill Lynch (Asia Pacific) Limited | RE | 1 | 13 September 2007 | 12 January 2013 |
| Merrill Lynch Futures (Hong Kong) Limited | RE | 2 | 13 September 2007 | 06 September 2010 |
| CS Wealth Securities Limited 中策富滙證券有限公司 | RE | 1 | 01 April 2003 | 03 February 2004 |
| CS Wealth Securities Limited 中策富滙證券有限公司 | RE | 4 | 01 April 2003 | 14 June 2003 |
| CS Wealth Securities Limited 中策富滙證券有限公司 | RE | 6 | 01 April 2003 | 14 June 2003 |
| CS Wealth Securities Limited 中策富滙證券有限公司 | RE | 9 | 01 April 2003 | 14 June 2003 |