SFC Licences of LAU Kwok Hei 劉國熙

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

Institution Role Licences Start date End date
AA Investment Management Limited 安安投資管理有限公司 RO 9 03 January 2023
AA Investment Management Limited 安安投資管理有限公司 RO 4 03 January 2023
AA Investment Management Limited 安安投資管理有限公司 RO 1 03 January 2023
Noah Holdings (Hong Kong) Limited 諾亞控股(香港)有限公司 RO 9 29 September 2021 04 March 2022
Noah Holdings (Hong Kong) Limited 諾亞控股(香港)有限公司 RO 4 29 September 2021 04 March 2022
Noah Holdings (Hong Kong) Limited 諾亞控股(香港)有限公司 RO 1 29 September 2021 04 March 2022
Noah Holdings (Hong Kong) Limited 諾亞控股(香港)有限公司 RE 9 27 August 2021 29 September 2021
Noah Holdings (Hong Kong) Limited 諾亞控股(香港)有限公司 RE 4 27 August 2021 29 September 2021
Noah Holdings (Hong Kong) Limited 諾亞控股(香港)有限公司 RE 1 27 August 2021 29 September 2021
uSmart Securities Limited 盈立證券有限公司 RO 9 02 March 2021 15 June 2021
uSmart Securities Limited 盈立證券有限公司 RO 4 02 March 2021 15 June 2021
uSmart Securities Limited 盈立證券有限公司 RO 1 27 August 2019 15 June 2021
uSmart Securities Limited 盈立證券有限公司 RE 1 09 July 2019 27 August 2019
orientiert XYZ Securities Limited RO 2 18 March 2019 30 May 2019
orientiert XYZ Securities Limited RO 1 18 March 2019 30 May 2019
Kaisa Financial Group Company Limited 佳兆業金融集團有限公司 RO 1 26 February 2018 15 November 2018
Kaisa Asset Management Limited 佳兆業資產管理有限公司 RE 9 28 November 2017 15 November 2018
Kaisa Financial Group Company Limited 佳兆業金融集團有限公司 RE 1 28 November 2017 26 February 2018
South China Futures Investment Limited 南華期貨投資有限公司 RO 2 13 July 2017 27 October 2017
RE 9 10 March 2017 27 October 2017
Excellent Tide Securities Limited 佳湧證券有限公司 RO 1 21 December 2016 27 October 2017
Excellent Tide Securities Limited 佳湧證券有限公司 RE 1 26 October 2016 21 December 2016
Frontier Capital Management Limited 方達資本管理有限公司 RO 1 01 December 2015 22 October 2016
Frontier Capital Management Limited 方達資本管理有限公司 RE 1 28 October 2015 01 December 2015
Central China International Securities Co., Limited 中州國際證券有限公司 RE 1 10 August 2015 19 October 2015
SinoPac Asset Management (Asia) Limited 永豐金資產管理(亞洲)有限公司 RE 1 29 September 2014 20 July 2015
SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 RE 2 21 May 2013 20 July 2015
SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 RE 1 30 April 2012 20 July 2015
SinoPac Futures (Asia) Limited 永豐金期貨(亞洲)有限公司 RE 2 30 April 2012 31 March 2014
Evergrande Futures (Hong Kong) Limited 恒大期貨(香港)有限公司 RE 2 29 November 2010 16 April 2012
Evergrande Securities (Hong Kong) Limited 恒大證券(香港)有限公司 RE 1 29 November 2010 16 April 2012
Haitong International Securities Company Limited 海通國際證券有限公司 RE 3 15 October 2010 25 November 2010
Haitong International Futures Limited 海通國際期貨有限公司 RE 2 11 April 2007 25 November 2010
Haitong International Securities Company Limited 海通國際證券有限公司 RE 1 11 April 2007 25 November 2010