Wai Man (SFC:ASE757) Lau
劉偉文
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Man (SFC:ASE757) Lau (劉偉文), a licensed former licensee with CE reference ASE757. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Emperor Securities Limited 英皇證券有限公司 |
Rep | Type 1 - Dealing in securities | 2015-01-29 | 2019-03-29 |
| Nerico Brothers Limited | Rep | Type 1 - Dealing in securities | 2014-10-29 | 2014-12-18 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2010-12-31 | 2011-03-18 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-12-31 | 2011-03-18 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 4 - Advising on securities | 2010-12-31 | 2011-03-18 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2010-02-23 | 2010-12-10 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2009-10-09 | 2010-12-10 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-02-05 | 2010-12-10 |