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