Shing Ngon Lau
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shing Ngon Lau (劉升昂), a licensed Responsible Officer with CE reference AAB584. Currently licensed at 2 firm(s): Prudential Brokerage Limited, Prudential Index Trading Company Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities; Type 5 - Advising on futures contracts; Type 6 - Advising on corporate finance; Type 9 - Asset management. This person has 23.4 years of SFC licence history. Total licence records on file: 12.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 1 - Dealing in securities | Pre-2003 | present |
| Prudential Index Trading Company Limited 信誠期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | Pre-2003 | present |
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 4 - Advising on securities | Pre-2003 | present |
| Prudential Index Trading Company Limited 信誠期貨有限公司 |
RO | Type 5 - Advising on futures contracts | Pre-2003 | present |
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 6 - Advising on corporate finance | Pre-2003 | present |
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 9 - Asset management | Pre-2003 | present |
| Prudential Index Trading Company Limited 信誠期貨有限公司 |
RO | Type 9 - Asset management | Pre-2003 | present |
| Tian Yuan Finance Limited 天元金融有限公司 |
RO | Type 1 - Dealing in securities | Pre-2003 | 2016-06-30 |
| Tian Yuan Finance Limited 天元金融有限公司 |
RO | Type 4 - Advising on securities | Pre-2003 | 2016-06-30 |
| Tian Yuan Finance Limited 天元金融有限公司 |
RO | Type 6 - Advising on corporate finance | Pre-2003 | 2016-10-27 |
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 7 - Providing automated trading services | Pre-2003 | 2008-04-21 |
| Tian Yuan Finance Limited 天元金融有限公司 |
RO | Type 9 - Asset management | Pre-2003 | 2016-08-15 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Shing Ngon 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.