Siu Man (SFC:ACV996) Lau
劉紹文
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Man (SFC:ACV996) Lau (劉紹文), CE reference ACV996. Currently licensed at 1 firm(s): HSBC Broking Securities (Asia) Limited. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
RO | Type 4 — Advising on securities | 2016-12-01 | present |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-06-30 | present |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2016-07-22 | 2016-12-01 |
| HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-06-30 | 2016-07-01 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-06-30 | 2015-07-20 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2014-06-30 | 2015-07-20 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2004-07-09 | 2014-03-04 |
| CLSA Research Limited 里昂證券投資研究有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-07-06 |