Lynch Lau
劉念慈
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lynch Lau (劉念慈), a licensed former licensee with CE reference ADZ118. Total licence records on file: 22.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura Asset Management Hong Kong Limited 野村投資管理香港有限公司 |
RO | Type 1 — Dealing in securities | 2014-07-04 | 2023-06-01 |
| Nomura Asset Management Hong Kong Limited 野村投資管理香港有限公司 |
Rep | Type 4 — Advising on securities | 2007-08-01 | 2023-06-01 |
| Nomura Asset Management Hong Kong Limited 野村投資管理香港有限公司 |
Rep | Type 9 — Asset management | 2007-08-01 | 2023-06-01 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2005-05-09 | 2007-07-13 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
Rep | Type 5 — Advising on futures contracts | 2005-05-09 | 2007-07-13 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
Rep | Type 9 — Asset management | 2005-05-09 | 2007-07-13 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2005-04-13 | 2007-07-13 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 1 — Dealing in securities | 2004-12-29 | 2005-03-17 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-12-29 | 2005-03-17 |
| Sunwah Kingsway Futures Limited 新華滙富期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-12-29 | 2005-03-17 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-12-24 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-12-24 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2004-12-24 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-06-02 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-06-02 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-06-02 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-06-02 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-06-02 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-07-21 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2004-06-02 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-06-02 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-06-02 |