SFC Licences of LAU Kin Kwan, Karen 劉建軍
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Guotai Junan FX Limited 國泰君安外匯有限公司 | RE | 3 | 07 January 2013 | 01 May 2018 |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 | RE | 2 | 07 January 2013 | 01 May 2018 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 | RE | 1 | 07 January 2013 | 01 May 2018 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 | RE | 2 | 20 June 2012 | 30 November 2012 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 | RE | 1 | 20 June 2012 | 30 November 2012 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 | RE | 1 | 18 May 2011 | 30 November 2012 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 | RE | 2 | 18 May 2011 | 30 November 2012 |