SFC Licences of LAU Tin Pui 劉天珮

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

Institution Role Licences Start date End date
CLSA Limited 中信里昂證券有限公司
RE 1 15 November 2016
CLSA Capital Markets Limited 中信里昂證券資本市場有限公司
RE 4, 6 15 November 2016
CLSA Limited 中信里昂證券有限公司
RE 4 15 November 2016 22 July 2021
Jefferies Hong Kong Limited 富瑞金融集團香港有限公司
RE 1, 4, 6 18 January 2016 04 November 2016
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司
RE 1, 4, 6 12 February 2015 18 November 2015