Lik Alaric Lau
劉力
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lik Alaric Lau (劉力), a licensed former licensee with CE reference AHK681. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CMB Wing Lung Asset Management Limited 招商永隆資產管理有限公司 |
RO | Type 4 — Advising on securities | 2018-07-19 | 2021-09-21 |
| CMB Wing Lung Asset Management Limited 招商永隆資產管理有限公司 |
RO | Type 9 — Asset management | 2017-03-21 | 2021-09-21 |
| CMB Wing Lung Asset Management Limited 招商永隆資產管理有限公司 |
Rep | Type 9 — Asset management | 2016-08-30 | 2017-03-21 |
| Oppenheimer Investments Asia Limited 凱萬亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2012-05-17 | 2012-11-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-10-10 | 2009-08-19 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | present | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-08-12 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-08-12 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-08-12 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 9 — Asset management | present | 2003-08-12 |