SFC Licences of LAU Sze Ming 劉思明
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
China Finance Holdings Limited 中港金融證券有限公司 | RE | 1 | 12 June 2008 | 10 January 2011 |
Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 | RE | 4 | 01 April 2003 | 21 September 2004 |
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 | RE | 1 | 01 April 2003 | 21 September 2004 |
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 | RE | 6 | 01 April 2003 | 13 April 2004 |
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 | RE | 9 | 01 April 2003 | 13 April 2004 |
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 | RE | 4 | 01 April 2003 | 13 April 2004 |