SFC licenceholder AJB217 LAU Cheuk Hang, Samuel 劉卓鏗

Licences

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

Updated: 05 April 2020

Institution Role Licences Start date End date
Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 RE [1] (Dealing in Securities), [9] (Asset Management) 02 August 2018
Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 RO [1] (Dealing in Securities) 27 June 2018 21 July 2018
Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 RE [2] (Dealing in Futures Contracts) 22 September 2015 21 July 2018
Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 RE [4] (Advising on Securities) 24 March 2010 21 July 2018
Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 RE [1] (Dealing in Securities) 12 September 2008 27 June 2018
Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 RE [2] (Dealing in Futures Contracts) 10 April 2007 01 June 2008
Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 RE [1] (Dealing in Securities) 28 February 2007 01 June 2008
Northern Trust Company of Hong Kong Limited, The RE [1] (Dealing in Securities) 30 July 2003 11 December 2006