SFC Licences of LAU Kwok Hei, David 劉國熙
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Wells Fargo Securities Asia Limited | RO | 6 | 17 February 2021 | 12 May 2022 |
| Wells Fargo Securities Asia Limited | RO | 4 | 17 February 2021 | 12 May 2022 |
| Wells Fargo Securities Asia Limited | RO | 1 | 17 February 2021 | 12 May 2022 |
| Wells Fargo Securities Asia Limited | RE | 6 | 22 October 2013 | 17 February 2021 |
| Wells Fargo Securities Asia Limited | RE | 4 | 22 October 2013 | 17 February 2021 |
| Wells Fargo Securities Asia Limited | RE | 1 | 22 October 2013 | 17 February 2021 |
| Isola Capital Asset Management Limited 道源資產管理有限公司 | RE | 9 | 08 August 2013 | 28 August 2013 |
| Merrill Lynch (Asia Pacific) Limited | RE | 4 | 02 August 2010 | 24 May 2012 |
| Merrill Lynch (Asia Pacific) Limited | RE | 6 | 02 August 2010 | 24 May 2012 |
| Merrill Lynch (Asia Pacific) Limited | RE | 1 | 02 August 2010 | 24 May 2012 |
| Merrill Lynch Far East Limited | RE | 6 | 02 August 2010 | 24 May 2012 |
| Merrill Lynch Far East Limited | RE | 4 | 02 August 2010 | 24 May 2012 |
| Merrill Lynch Far East Limited | RE | 1 | 02 August 2010 | 24 May 2012 |