Lau, King Yuen 劉敬元

show old organisation names

SFC licenses

Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.

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Organisation Role Activity From Until
1 AISANCE ASSET MANAGEMENT LIMITED RO Dealing in futures contracts 2003-12-09 2008-06-21
2 CITIC Securities Brokerage (HK) Limited Rep Dealing in securities 2008-07-16 2008-07-31
RO Dealing in securities 2008-07-31 2017-06-30
3 CITIC Securities Futures (HK) Limited Rep Dealing in futures contracts 2008-07-16 2008-07-31
RO Dealing in futures contracts 2008-07-31 2017-06-30
4 Huayu Securities Limited Rep Dealing in securities 2020-09-24 2020-10-29
RO Advising on securities 2020-10-29
RO Dealing in securities 2020-10-29
5 KGI ASIA LIMITED Rep Advising on corporate finance 2003-12-06
Rep Advising on securities 2003-12-06
Rep Asset management 2003-12-06
Rep Dealing in securities 2003-12-08
RO Dealing in securities 2003-12-08 2008-06-21
6 KGI FUTURES (HONG KONG) LIMITED Rep Advising on futures contracts 2003-12-06
Rep Asset management 2003-12-06
Rep Dealing in futures contracts 2003-12-08
RO Dealing in futures contracts 2003-12-08 2008-06-21
7 KGI SECURITIES (HONG KONG) LIMITED Rep Automated trading services 2003-07-21
Rep Advising on corporate finance 2003-12-06
Rep Advising on securities 2003-12-06
Rep Asset management 2003-12-06
Rep Dealing in securities 2003-12-08
RO Dealing in securities 2003-12-08 2008-06-21
8 Rifa Futures Limited Rep Dealing in futures contracts 2017-11-15 2018-02-07
RO Dealing in futures contracts 2018-02-07 2020-08-31
9 Rifa Securities Limited Rep Dealing in securities 2017-11-15 2018-02-07
RO Dealing in securities 2018-02-07 2020-08-31

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