Elaine Yim Ling Lau
劉艷玲
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Elaine Yim Ling Lau (劉艷玲), a licensed former licensee with CE reference AAJ813. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
RO | Type 4 — Advising on securities | 2021-02-24 | 2022-09-30 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
RO | Type 1 — Dealing in securities | 2020-11-06 | 2022-09-30 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2020-11-06 | 2022-09-30 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2020-08-13 | 2020-11-06 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2020-08-13 | 2020-11-06 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 4 — Advising on securities | 2020-08-13 | 2021-02-24 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 1 — Dealing in securities | 2019-07-16 | 2020-05-31 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2019-07-16 | 2020-05-31 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 4 — Advising on securities | 2019-07-16 | 2020-05-31 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2008-01-23 | 2018-09-04 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2008-01-23 | 2018-09-04 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2007-03-21 | 2018-09-04 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-03-21 | 2008-01-23 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2003-06-05 | 2005-10-01 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2003-06-05 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-04-30 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 9 — Asset management | present | 2003-04-30 |