Lau, Wai Man (SFC:ASE757) 劉偉文
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 | EMPEROR SECURITIES LIMITED (HK) | Rep | Dealing in securities | 2015-01-29 | 2019-03-29 |
| 2 | Nerico Brothers Limited (HK) | Rep | Dealing in securities | 2014-10-29 | 2014-12-18 |
| 3 | PHILLIP COMMODITIES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2009-10-09 | 2010-12-10 |
| 4 | PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2009-02-05 | 2010-12-10 | Rep | Advising on securities | 2010-02-23 | 2010-12-10 |
| 5 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Advising on securities | 2010-12-31 | 2011-03-18 | Rep | Dealing in securities | 2010-12-31 | 2011-03-18 |
| 6 | SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Dealing in futures contracts | 2010-12-31 | 2011-03-18 |
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