Wai Han Lau
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Han Lau (劉慧嫻), a licensed Representative with CE reference AOX216. Currently licensed at 2 firm(s): KGI Asia Limited, KGI Asset Management Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 19.1 years of SFC licence history. Total licence records on file: 12.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2017-10-03 | present |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2017-10-03 | present |
| KGI Asset Management Limited 凱基資產管理有限公司 |
Rep | Type 9 - Asset management | 2017-07-20 | present |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2015-08-21 | 2017-10-02 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2015-07-13 | 2017-10-02 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 9 - Asset management | 2014-08-20 | 2015-07-02 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 - Dealing in securities | 2014-05-20 | 2015-07-02 |
| KGI Asset Management Limited 凱基資產管理有限公司 |
Rep | Type 1 - Dealing in securities | 2013-07-29 | 2014-04-30 |
| KGI Asset Management Limited 凱基資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2013-07-29 | 2014-04-30 |
| T G Holborn (HK) Limited 浩邦﹝香港﹞有限公司 |
Rep | Type 4 - Advising on securities | 2010-03-03 | 2013-10-21 |
| FWD Financial Planning Limited 富衛財務策劃有限公司 |
Rep | Type 4 - Advising on securities | 2007-07-19 | 2010-02-12 |
| T G Holborn (HK) Limited 浩邦﹝香港﹞有限公司 |
Rep | Type 4 - Advising on securities | 2007-05-09 | 2007-06-25 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Wai Han 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.