Dorothy Kwok Cheung Lau
劉幗璋
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dorothy Kwok Cheung Lau (劉幗璋), CE reference AEY067. Currently licensed at 1 firm(s): Chocolate Asset Management Limited. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Chocolate Asset Management Limited 巧力資產管理有限公司 |
RO | Type 9 — Asset management | 2017-09-04 | present |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2010-10-05 | 2015-06-16 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2010-08-24 | 2015-06-16 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2010-08-24 | 2010-12-16 |
| Minerva Capital Management Limited |
RO | Type 9 — Asset management | 2009-06-19 | 2010-02-24 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2008-04-15 | 2009-05-01 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-04-15 | 2009-05-01 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | present | 2004-09-25 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2004-09-25 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 — Advising on securities | present | 2004-09-25 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-09-25 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-09-25 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 — Asset management | present | 2004-09-25 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2004-09-25 |