Lucia Tak Yee Lau
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lucia Tak Yee Lau (劉德怡), a licensed Representative with CE reference ANY277. Currently licensed at 2 firm(s): HSBC Global Asset Management (Hong Kong) Limited, HSBC Investment Funds (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 19.6 years of SFC licence history. Total licence records on file: 14.
Information
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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 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Lucia Tak Yee Lau during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.