SFC Licences of LAU Pak Sun 劉栢燊

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

Institution Role Licences Start date End date
Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 RO 1 26 May 2020
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 RO 1 26 May 2020
Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 RE 6 16 March 2020
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 RE 4 16 March 2020
Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 RE 1 16 March 2020 26 May 2020
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 RE 1 16 March 2020 26 May 2020
Sinolink Securities (Hong Kong) Company Limited 國金證券(香港)有限公司 RO 1 23 May 2017 21 February 2020
Sinolink Securities (Hong Kong) Company Limited 國金證券(香港)有限公司 RE 4 28 February 2017 21 February 2020
Sinolink Securities (Hong Kong) Company Limited 國金證券(香港)有限公司 RE 6 28 February 2017 21 February 2020
Sinolink Securities (Hong Kong) Company Limited 國金證券(香港)有限公司 RE 1 16 November 2016 23 May 2017
CIS Securities Asset Management Limited 順安證券資產管理有限公司 RE 1 12 January 2015 25 October 2016
China Industrial Securities International Capital Limited 興證國際融資有限公司 RE 1 30 April 2014 04 December 2014
China Industrial Securities International Capital Limited 興證國際融資有限公司 RE 6 30 April 2014 04 December 2014
Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 RE 6 04 February 2014 24 April 2014
Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 RE 4 19 July 2013 24 April 2014
Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 RE 1 19 July 2013 24 April 2014
Funderstone Futures Limited RE 2 08 August 2012 31 January 2013
Funderstone Securities Limited RE 1 08 August 2012 31 January 2013
Everbright Securities Investment Services (HK) Limited 光大證券投資服務(香港)有限公司 RE 4 09 September 2011 24 July 2012
Everbright Securities Investment Services (HK) Limited 光大證券投資服務(香港)有限公司 RE 1 09 September 2011 24 July 2012
ABCI Securities Company Limited 農銀國際證券有限公司 RE 1 30 May 2011 22 August 2011
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 RE 2 23 May 2008 14 May 2011
KGI Asia Limited 凱基證券亞洲有限公司 RE 1 23 May 2008 14 May 2011
Delta Asia Securities Limited 滙業證券有限公司 RE 1 09 August 2005 07 November 2005