Mimi Hong Ting Lau
劉康婷
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Mimi Hong Ting Lau (劉康婷), a licensed former licensee with CE reference AFR679. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2010-11-23 | 2011-06-21 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2010-11-23 | 2011-06-21 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2010-11-23 | 2011-06-21 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2010-11-23 | 2011-06-21 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2010-11-23 | 2011-06-21 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | 2010-11-23 | 2011-06-21 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2010-11-23 | 2011-06-21 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 - Providing automated trading services | 2010-11-23 | 2011-06-21 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2006-06-09 | 2006-12-29 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2004-12-10 | 2006-01-11 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | present | 2004-10-27 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 - Advising on securities | present | 2004-10-12 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 - Advising on corporate finance | present | 2004-10-12 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 - Asset management | present | 2004-10-12 |