Roger Yee Ho Lau
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Roger Yee Ho Lau (劉以浩), a licensed Responsible Officer with CE reference ASS671. Currently licensed at 1 firm(s): Sun Life Asset Management (HK) Limited. Active regulated activities: Type 4 - Advising on securities; Type 9 - Asset management. This person has 16.9 years of SFC licence history. Total licence records on file: 8.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Sun Life Asset Management (HK) Limited 永明資產管理(香港)有限公司 |
RO | Type 4 - Advising on securities | 2026-03-17 | present |
| Sun Life Asset Management (HK) Limited 永明資產管理(香港)有限公司 |
RO | Type 9 - Asset management | 2026-03-17 | present |
| Schroder Investment Management (Hong Kong) Limited | RO | Type 1 - Dealing in securities | 2022-09-22 | 2025-11-04 |
| Schroder Investment Management (Hong Kong) Limited | RO | Type 4 - Advising on securities | 2022-09-22 | 2025-11-04 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2010-03-01 | 2022-09-22 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 9 - Asset management | 2010-03-01 | 2025-11-04 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2010-02-09 | 2022-09-22 |
| Bank Consortium Trust Company Limited 銀聯信託有限公司 |
Rep | Type 4 - Advising on securities | 2009-05-05 | 2010-01-28 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Roger Yee Ho 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.