Pauline Yuen Ling Lau
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Pauline Yuen Ling Lau (劉宛玲), a licensed Responsible Officer with CE reference AEY548. Currently licensed at 1 firm(s): Aesop Asset Management Limited. Active regulated activities: Type 4 - Advising on securities; Type 9 - Asset management. This person has 19.7 years of SFC licence history. Total licence records on file: 21.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Aesop Asset Management Limited 晉灃資產管理有限公司 |
RO | Type 4 - Advising on securities | 2017-06-07 | present |
| Aesop Asset Management Limited 晉灃資產管理有限公司 |
RO | Type 9 - Asset management | 2017-06-07 | present |
| Wise Torch Investments Limited 火炬金融有限公司 |
Rep | Type 4 - Advising on securities | 2017-03-20 | 2017-06-01 |
| Wise Torch Investments Limited 火炬金融有限公司 |
RO | Type 4 - Advising on securities | 2016-11-30 | 2017-03-20 |
| Wise Torch Investments Limited 火炬金融有限公司 |
RO | Type 9 - Asset management | 2016-11-30 | 2017-06-01 |
| Hongkong Bay Asset Management Limited 港湾资產管理有限公司 |
Rep | Type 4 - Advising on securities | 2016-04-18 | 2016-11-29 |
| Hongkong Bay Asset Management Limited 港湾资產管理有限公司 |
Rep | Type 9 - Asset management | 2016-04-18 | 2016-11-29 |
| BSI Investment Advisors (Hong Kong) Limited 瑞意投資顧問(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2010-12-06 | 2014-01-31 |
| BSI Investment Advisors (Hong Kong) Limited 瑞意投資顧問(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2010-12-06 | 2014-01-31 |
| BSI Investment Advisors (Hong Kong) Limited 瑞意投資顧問(香港)有限公司 |
Rep | Type 9 - Asset management | 2010-12-06 | 2011-10-19 |
| LBN Advisers Limited 利邦投資顧問有限公司 |
Rep | Type 9 - Asset management | 2009-10-09 | 2010-04-19 |
| GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2009-04-15 | 2009-09-18 |
| GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 |
Rep | Type 9 - Asset management | 2009-04-15 | 2009-09-18 |
| Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 |
Rep | Type 5 - Advising on futures contracts | 2006-10-19 | 2008-12-31 |
| Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 |
Rep | Type 9 - Asset management | 2006-10-19 | 2008-12-31 |
| Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2006-08-24 | 2008-12-31 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2004-02-24 | 2006-08-11 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 4 - Advising on securities | 2003-08-28 | 2004-01-28 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-06-06 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-06-06 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-06-06 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Pauline Yuen 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.