Pak Sun Lau
劉栢燊
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Pak Sun Lau (劉栢燊), a licensed former licensee with CE reference AMF528. Total licence records on file: 24.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
RO | Type 1 — Dealing in securities | 2020-05-26 | 2022-10-03 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
RO | Type 1 — Dealing in securities | 2020-05-26 | 2022-10-03 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2020-03-16 | 2020-05-26 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
Rep | Type 1 — Dealing in securities | 2020-03-16 | 2020-05-26 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 4 — Advising on securities | 2020-03-16 | 2022-10-03 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2020-03-16 | 2022-10-03 |
| Sinolink Securities (Hong Kong) Company Limited 國金證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2017-05-23 | 2020-02-21 |
| Sinolink Securities (Hong Kong) Company Limited 國金證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2017-02-28 | 2020-02-21 |
| Sinolink Securities (Hong Kong) Company Limited 國金證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-02-28 | 2020-02-21 |
| Sinolink Securities (Hong Kong) Company Limited 國金證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2016-11-16 | 2017-05-23 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2015-01-12 | 2016-10-25 |
| China Industrial Securities International Capital Limited 興證國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2014-04-30 | 2014-12-04 |
| China Industrial Securities International Capital Limited 興證國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-04-30 | 2014-12-04 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-02-04 | 2014-04-24 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-07-19 | 2014-04-24 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2013-07-19 | 2014-04-24 |
| Funderstone Securities Limited | Rep | Type 1 — Dealing in securities | 2012-08-08 | 2013-01-31 |
| Funderstone Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2012-08-08 | 2013-01-31 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 1 — Dealing in securities | 2011-09-09 | 2012-07-24 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 4 — Advising on securities | 2011-09-09 | 2012-07-24 |
| ABCI Securities Company Limited 農銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2011-05-30 | 2011-08-22 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2008-05-23 | 2011-05-14 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-05-23 | 2011-05-14 |
| Delta Asia Securities Limited 滙業證券有限公司 |
Rep | Type 1 — Dealing in securities | 2005-08-09 | 2005-11-07 |