Ricky Lau
劉澍旻
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ricky Lau (劉澍旻), a licensed former licensee with CE reference AEM916. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Tang Ping Kong Limited 太平行證券有限公司 |
Rep | Type 1 — Dealing in securities | 2012-06-06 | 2016-08-10 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 1 — Dealing in securities | 2007-08-09 | 2011-11-29 |
| Tang Ping Kong Limited 太平行證券有限公司 |
Rep | Type 1 — Dealing in securities | 2005-12-14 | 2007-07-21 |
| Tang Ping Kong Limited 太平行證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-05-23 |
| Tang Ping Kong Limited 太平行證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-05-23 |
| Tang Ping Kong Limited 太平行證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-05-23 |
| Tang Ping Kong Limited 太平行證券有限公司 |
Rep | Type 9 — Asset management | present | 2003-05-23 |