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 | 4 | 15 November 2016 | 22 July 2021 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 | RE | 6 | 15 November 2016 | |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 | RE | 4 | 15 November 2016 | |
| CLSA Limited 中信里昂證券有限公司 | RE | 1 | 15 November 2016 | |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 | RE | 6 | 18 January 2016 | 04 November 2016 |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 | RE | 4 | 18 January 2016 | 04 November 2016 |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 | RE | 1 | 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 | 12 February 2015 | 18 November 2015 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 | RE | 4 | 12 February 2015 | 18 November 2015 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 | RE | 6 | 12 February 2015 | 18 November 2015 |