SFC Licences of LAU Kendrick Nam Fun 劉南勳
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
CIS Securities Asset Management Limited 順安證券資產管理有限公司 | RE | 1 | 25 February 2019 | 13 March 2020 |
CIS Securities Asset Management Limited 順安證券資產管理有限公司 | RE | 9 | 22 January 2019 | 13 March 2020 |
Synergy Fund Management Group Limited 盛諾金基金管理有限公司 | RE | 9 | 14 December 2016 | 07 August 2018 |
Synergy Fund Management Group Limited 盛諾金基金管理有限公司 | RE | 4 | 14 December 2016 | 07 August 2018 |
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 9 | 18 November 2015 | 08 October 2016 |
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 1 | 18 November 2015 | 08 October 2016 |
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 | RE | 2 | 18 November 2015 | 08 October 2016 |
Synergy Fund Management Group Limited 盛諾金基金管理有限公司 | RE | 9 | 01 February 2013 | 31 May 2013 |