Alison Wai Yin Lau
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alison Wai Yin Lau (劉慧賢), a licensed Responsible Officer with CE reference BFA280. Currently licensed at 1 firm(s): Goldman Sachs Asset Management (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 11.5 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs Asset Management (Hong Kong) Limited 高盛資產管理(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2018-11-30 | present |
| Goldman Sachs Asset Management (Hong Kong) Limited 高盛資產管理(香港)有限公司 |
RO | Type 4 - Advising on securities | 2018-11-30 | present |
| Goldman Sachs Asset Management (Hong Kong) Limited 高盛資產管理(香港)有限公司 |
RO | Type 9 - Asset management | 2018-11-30 | present |
| Goldman Sachs Asset Management (Hong Kong) Limited 高盛資產管理(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2016-09-26 | 2018-11-30 |
| Goldman Sachs Asset Management (Hong Kong) Limited 高盛資產管理(香港)有限公司 |
Rep | Type 9 - Asset management | 2016-09-26 | 2018-11-30 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 - Asset management | 2015-05-22 | 2017-04-01 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2015-02-26 | 2017-04-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Alison Wai Yin 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.