Kwok Ho Lau
劉國豪
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Ho Lau (劉國豪), a licensed former licensee with CE reference AGH239. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guotai Junan Capital Limited 國泰君安融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2013-01-02 | 2013-06-04 |
| Guotai Junan Capital Limited 國泰君安融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2012-11-12 | 2013-01-02 |
| South West Capital Limited 西南融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2012-06-07 | 2012-10-25 |
| Fulbright Capital Limited 富昌融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2011-06-14 | 2012-05-24 |
| Guotai Junan Capital Limited 國泰君安融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-04-17 | 2010-09-10 |
| RHB Capital Hong Kong Limited 興業金融融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2004-04-19 | 2007-03-16 |
| Cepa Alliance Securities Limited 世博證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-09-23 |
| Cepa Alliance Securities Limited 世博證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-08-12 |
| Cepa Alliance Securities Limited 世博證券有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-07-21 |