SFC licenceholder AWU132 LAU Homan 劉浩文

Licences

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

Updated: 02 April 2020

Institution Role Licences Start date End date
Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 RE [1] (Dealing in Securities) 29 May 2015
UBS Securities Hong Kong Limited RE [1] (Dealing in Securities), [7] (Providing Automated Trading Services) 12 July 2013 24 May 2015
UBS Securities Asia Limited RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 12 July 2013 24 May 2015
UBS Derivatives Hong Kong Limited RE [2] (Dealing in Futures Contracts) 12 July 2013 24 May 2015
Religare Capital Markets (Hong Kong) Limited RE [1] (Dealing in Securities) 15 February 2011 19 October 2012