Simon Shek Yuen Lau
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Simon Shek Yuen Lau (劉錫源), a licensed Responsible Officer with CE reference ADW646. Currently licensed at 1 firm(s): Aurora Borealis Investment Services Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 22.7 years of SFC licence history. Total licence records on file: 16.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Aurora Borealis Investment Services Limited 北極光證券投資服務有限公司 |
RO | Type 1 - Dealing in securities | 2016-05-18 | present |
| Aurora Borealis Investment Services Limited 北極光證券投資服務有限公司 |
RO | Type 4 - Advising on securities | 2016-05-18 | present |
| Aurora Borealis Investment Services Limited 北極光證券投資服務有限公司 |
RO | Type 9 - Asset management | 2016-05-18 | present |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
RO | Type 9 - Asset management | 2013-04-23 | 2016-05-05 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
Rep | Type 9 - Asset management | 2013-02-04 | 2013-04-23 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
RO | Type 2 - Dealing in futures contracts | 2011-12-21 | 2016-05-05 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
Rep | Type 9 - Asset management | 2010-06-11 | 2014-03-13 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
RO | Type 1 - Dealing in securities | 2010-04-01 | 2014-03-13 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-12-24 | 2011-12-21 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
RO | Type 4 - Advising on securities | 2008-12-24 | 2016-05-05 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
RO | Type 1 - Dealing in securities | 2007-12-07 | 2016-05-05 |
| Hua Nan Securities (HK) Limited 華南永昌證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2005-02-08 | 2007-07-06 |
| Hua Nan Securities (HK) Limited 華南永昌證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2005-02-03 | 2005-02-08 |
| Beijing Securities Limited 北京證券有限公司 |
RO | Type 1 - Dealing in securities | 2004-04-26 | 2005-02-03 |
| Beijing Securities Limited 北京證券有限公司 |
Rep | Type 1 - Dealing in securities | 2004-04-21 | 2004-04-26 |
| Fuhwa Securities (Hong Kong) Co., Limited 復華證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | Pre-2003 | 2004-03-08 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Simon Shek Yuen 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.