Hon Wai Lau
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Hon Wai Lau (劉漢威), a licensed Responsible Officer with CE reference ACI109. Currently licensed at 1 firm(s): Initial Capital Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 18.3 years of SFC licence history. Total licence records on file: 27.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Initial Capital Securities Limited 鑫元證券有限公司 |
RO | Type 1 - Dealing in securities | 2022-07-15 | present |
| Initial Capital Securities Limited 鑫元證券有限公司 |
RO | Type 4 - Advising on securities | 2022-07-15 | present |
| Initial Capital Securities Limited 鑫元證券有限公司 |
RO | Type 9 - Asset management | 2022-07-15 | present |
| Aureum Infinity Capital Limited 滶盈資本有限公司 |
RO | Type 1 - Dealing in securities | 2021-07-19 | 2022-01-10 |
| Aureum Infinity Capital Limited 滶盈資本有限公司 |
RO | Type 4 - Advising on securities | 2021-07-19 | 2022-01-10 |
| Aureum Infinity Capital Limited 滶盈資本有限公司 |
RO | Type 9 - Asset management | 2021-07-19 | 2022-01-10 |
| Aureum Infinity Capital Limited 滶盈資本有限公司 |
Rep | Type 1 - Dealing in securities | 2021-05-17 | 2021-07-19 |
| Aureum Infinity Capital Limited 滶盈資本有限公司 |
Rep | Type 4 - Advising on securities | 2021-05-17 | 2021-07-19 |
| Aureum Infinity Capital Limited 滶盈資本有限公司 |
Rep | Type 9 - Asset management | 2021-05-17 | 2021-07-19 |
| Golden K2 Securities Limited | RO | Type 1 - Dealing in securities | 2020-05-28 | 2021-02-28 |
| Maxcess Capital Limited 至成資本有限公司 |
RO | Type 4 - Advising on securities | 2020-05-28 | 2021-02-28 |
| Maxcess Capital Limited 至成資本有限公司 |
RO | Type 9 - Asset management | 2020-05-28 | 2021-02-28 |
| Golden K2 Securities Limited | Rep | Type 1 - Dealing in securities | 2020-04-02 | 2020-05-28 |
| Full Win Securities Limited 富盛證券有限公司 |
RO | Type 1 - Dealing in securities | 2019-12-06 | 2020-01-19 |
| First Fidelity Capital (International) Limited | RO | Type 1 - Dealing in securities | 2017-01-03 | 2019-03-17 |
| First Fidelity Capital (International) Limited | RO | Type 4 - Advising on securities | 2017-01-03 | 2019-03-17 |
| First Fidelity Capital (International) Limited | Rep | Type 1 - Dealing in securities | 2016-09-09 | 2017-01-03 |
| First Fidelity Capital (International) Limited | Rep | Type 4 - Advising on securities | 2016-09-09 | 2017-01-03 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 1 - Dealing in securities | 2010-12-17 | 2013-05-31 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-12-17 | 2013-05-31 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2005-08-24 | 2010-12-15 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2005-08-24 | 2010-12-15 |
| Ewarton Securities Limited 穎翔證券有限公司 |
Rep | Type 1 - Dealing in securities | 2003-09-16 | 2005-08-22 |
| Sun Growth Securities Limited 志昇証券有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-08-29 |
| Sun Growth Securities Limited 志昇証券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-08-29 |
| Sun Growth Securities Limited 志昇証券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-08-29 |
| Sun Growth Securities Limited 志昇証券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-08-29 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Hon Wai 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.