SFC Licences of LAU Ka On, David 劉家安
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| UBS Securities Asia Limited | RE | 4 | 20 December 2010 | 06 December 2013 |
| CLSA Research Limited 里昂證券投資研究有限公司 | RE | 4 | 18 May 2010 | 24 September 2010 |
| MainFirst Securities Hong Kong Limited | RE | 4 | 27 November 2009 | 28 April 2010 |
| UBS Securities Asia Limited | RE | 4 | 20 November 2006 | 28 April 2009 |