Lap Kei Shiu
蕭立基
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lap Kei Shiu (蕭立基), a licensed former licensee with CE reference AOI979. Total licence records on file: 27.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Macrowaters Asia Fund Management Limited 宏水亞洲基金管理有限公司 |
RO | Type 9 — Asset management | 2021-01-26 | 2021-03-31 |
| Macrowaters Asia Fund Management Limited 宏水亞洲基金管理有限公司 |
Rep | Type 9 — Asset management | 2020-12-08 | 2021-01-26 |
| Avenue Family Office Limited 道信家族辦公室有限公司 |
Rep | Type 1 — Dealing in securities | 2020-04-14 | 2020-09-18 |
| Avenue Investment Management Limited 道信投資管理有限公司 |
Rep | Type 1 — Dealing in securities | 2020-04-14 | 2020-09-18 |
| Avenue Asset Management Limited 道信資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2020-04-14 | 2020-09-18 |
| Avenue Family Office Limited 道信家族辦公室有限公司 |
Rep | Type 4 — Advising on securities | 2020-04-14 | 2020-09-18 |
| Avenue Investment Management Limited 道信投資管理有限公司 |
Rep | Type 4 — Advising on securities | 2020-04-14 | 2020-09-18 |
| Avenue Asset Management Limited 道信資產管理有限公司 |
Rep | Type 9 — Asset management | 2020-04-14 | 2020-09-18 |
| Avenue Family Office Limited 道信家族辦公室有限公司 |
Rep | Type 9 — Asset management | 2020-04-14 | 2020-09-18 |
| Avenue Investment Management Limited 道信投資管理有限公司 |
Rep | Type 9 — Asset management | 2020-04-14 | 2020-09-18 |
| Tokai Tokyo Securities (Asia) Limited 東海東京證券(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-08-19 | 2019-08-02 |
| Tokai Tokyo Securities (Asia) Limited 東海東京證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2016-08-19 | 2019-08-02 |
| Tokai Tokyo Securities (Asia) Limited 東海東京證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2016-06-24 | 2019-08-02 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-10-05 | 2016-01-22 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 7 — Providing automated trading services | 2013-07-24 | 2014-09-05 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2012-09-05 | 2014-09-05 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 — Dealing in securities | 2012-09-05 | 2014-09-05 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2012-09-05 | 2014-09-05 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2012-09-05 | 2013-07-24 |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-12-31 | 2012-07-04 |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-12-31 | 2012-07-04 |
| MUSHK Limited | Rep | Type 1 — Dealing in securities | 2008-05-28 | 2010-12-30 |
| MUSHK Limited | Rep | Type 2 — Dealing in futures contracts | 2008-05-28 | 2010-12-30 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2007-08-17 | 2008-05-24 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-08-17 | 2008-05-24 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-12-29 | 2007-07-08 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-12-29 | 2007-07-08 |