Elaine Yim Ling Lau
劉艷玲
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Elaine Yim Ling Lau (劉艷玲), a licensed former licensee with CE reference AAJ813. This person has 17.0 years of SFC licence history. Total licence records on file: 17.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
RO | Type 4 - Advising on securities | 2021-02-24 | 2022-09-30 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
RO | Type 1 - Dealing in securities | 2020-11-06 | 2022-09-30 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2020-11-06 | 2022-09-30 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2020-08-13 | 2020-11-06 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2020-08-13 | 2020-11-06 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 4 - Advising on securities | 2020-08-13 | 2021-02-24 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 1 - Dealing in securities | 2019-07-16 | 2020-05-31 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2019-07-16 | 2020-05-31 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 4 - Advising on securities | 2019-07-16 | 2020-05-31 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2008-01-23 | 2018-09-04 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2008-01-23 | 2018-09-04 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2007-03-21 | 2018-09-04 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-03-21 | 2008-01-23 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2003-06-05 | 2005-10-01 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2003-06-05 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2003-04-30 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-04-30 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Elaine Yim Ling Lau during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.