SFC Licences of LAU Ho Man 劉浩文

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

Institution	Role	Licences	Start date	End date
UBS Securities Hong Kong Limited	RE	2	18 September 2023
UBS Securities Hong Kong Limited	RE	1	18 September 2023
UBS Securities Asia Limited	RE	2	18 September 2023
UBS Securities Asia Limited	RE	1	18 September 2023
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司	RE	7	08 December 2022	11 August 2023
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司	RE	1	08 December 2022	11 August 2023
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司	RE	2	08 December 2022	11 August 2023
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司	RE	1	08 December 2022	11 August 2023
Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司	RE	4	20 September 2021	05 September 2022
Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司	RE	1	29 May 2015	05 September 2022
UBS Derivatives Hong Kong Limited	RE	2	12 July 2013	24 May 2015
UBS Securities Asia Limited	RE	2	12 July 2013	24 May 2015
UBS Securities Asia Limited	RE	1	12 July 2013	24 May 2015
UBS Securities Hong Kong Limited	RE	7	12 July 2013	24 May 2015
UBS Securities Hong Kong Limited	RE	1	12 July 2013	24 May 2015
Religare Capital Markets (Hong Kong) Limited	RE	1	15 February 2011	19 October 2012