Lucia Tak Yee Lau
劉德怡
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lucia Tak Yee Lau (劉德怡), CE reference ANY277. Currently licensed at 2 firm(s): HSBC Global Asset Management (Hong Kong) Limited, HSBC Investment Funds (Hong Kong) Limited. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2019-08-15 | present |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 9 — Asset management | 2019-08-15 | present |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2019-07-22 | present |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2019-07-22 | present |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2019-07-22 | present |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2019-07-22 | present |
| Yunfeng Financial Markets Limited 雲鋒金融市場有限公司 |
Rep | Type 1 — Dealing in securities | 2017-07-31 | 2019-06-21 |
| Yunfeng Securities Limited 雲鋒證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-07-31 | 2019-06-21 |
| Yunfeng Financial Markets Limited 雲鋒金融市場有限公司 |
Rep | Type 4 — Advising on securities | 2017-07-31 | 2019-06-21 |
| Yunfeng Securities Limited 雲鋒證券有限公司 |
Rep | Type 4 — Advising on securities | 2017-07-31 | 2019-06-21 |
| SAIL Advisors Limited | Rep | Type 4 — Advising on securities | 2013-12-16 | 2017-06-01 |
| SAIL Advisors Limited | Rep | Type 9 — Asset management | 2013-12-16 | 2017-06-01 |
| Penjing Asset Management (HK) Limited 盆景資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2006-09-20 | 2013-11-29 |
| Penjing Asset Management (HK) Limited 盆景資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2006-09-20 | 2013-11-29 |