Lau, Simon Shek Yuen 劉錫源
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 | Aurora Borealis Investment Services Limited | RO | Advising on securities | 2016-05-18 | RO | Asset management | 2016-05-18 | RO | Dealing in securities | 2016-05-18 |
| 2 | Beijing Securities Limited | Rep | Dealing in securities | 2004-04-21 | 2004-04-26 | RO | Dealing in securities | 2004-04-26 | 2005-02-03 |
| 3 | CIS SECURITIES ASSET MANAGEMENT LIMITED | RO | Dealing in securities | 2007-12-07 | 2016-05-05 | Rep | Dealing in futures contracts | 2008-12-24 | 2011-12-21 | RO | Advising on securities | 2008-12-24 | 2016-05-05 | RO | Dealing in futures contracts | 2011-12-21 | 2016-05-05 | Rep | Asset management | 2013-02-04 | 2013-04-23 | RO | Asset management | 2013-04-23 | 2016-05-05 |
| 4 | FUHWA SECURITIES (HONG KONG) CO., LIMITED | RO | Dealing in securities | 2004-03-08 | |
| 5 | HUA NAN SECURITIES (HK) LIMITED | Rep | Dealing in securities | 2005-02-03 | 2005-02-08 | RO | Dealing in securities | 2005-02-08 | 2007-07-06 |
| 6 | OnePlatform Asset Management Limited | RO | Dealing in securities | 2010-04-01 | 2014-03-13 | Rep | Asset management | 2010-06-11 | 2014-03-13 |
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