SFC Licences of LAU Tak Yee, Lucia 劉德怡

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

Institution	Role	Licences	Start date	End date
HSBC Investment Funds (Hong Kong) Limited	RE	9	15 August 2019
HSBC Global Asset Management (Hong Kong) Limited	RE	9	15 August 2019
HSBC Investment Funds (Hong Kong) Limited	RE	4	22 July 2019
HSBC Investment Funds (Hong Kong) Limited	RE	1	22 July 2019
HSBC Global Asset Management (Hong Kong) Limited	RE	4	22 July 2019
HSBC Global Asset Management (Hong Kong) Limited	RE	1	22 July 2019
Yunfeng Securities Limited 雲鋒證券有限公司	RE	4	31 July 2017	21 June 2019
Yunfeng Securities Limited 雲鋒證券有限公司	RE	1	31 July 2017	21 June 2019
Yunfeng Financial Markets Limited 雲鋒金融市場有限公司	RE	4	31 July 2017	21 June 2019
Yunfeng Financial Markets Limited 雲鋒金融市場有限公司	RE	1	31 July 2017	21 June 2019
SAIL Advisors Limited	RE	9	16 December 2013	01 June 2017
SAIL Advisors Limited	RE	4	16 December 2013	01 June 2017
Penjing Asset Management (HK) Limited 盆景資產管理(香港)有限公司	RE	9	20 September 2006	29 November 2013
Penjing Asset Management (HK) Limited 盆景資產管理(香港)有限公司	RE	4	20 September 2006	29 November 2013