Roland Ning Fung Lau
劉寧鋒
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Roland Ning Fung Lau (劉寧鋒), a licensed Responsible Officer with CE reference ASZ252. Currently licensed at 1 firm(s): Joy Rich Asset Management Company Limited. Active regulated activities: Type 9 — Asset management. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Joy Rich Asset Management Company Limited 凱富資產管理有限公司 |
RO | Type 9 — Asset management | 2021-02-01 | present |
| Joy Rich Securities Investment Limited 海富證券投資有限公司 |
RO | Type 1 — Dealing in securities | 2017-04-25 | 2017-10-25 |
| CMBC Securities Company Limited 民銀證券有限公司 |
Rep | Type 1 — Dealing in securities | 2012-01-10 | 2015-03-01 |
| CMBC International Futures Company Limited 民銀國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-01-10 | 2015-03-01 |
| CMBC Securities Company Limited 民銀證券有限公司 |
Rep | Type 4 — Advising on securities | 2012-01-10 | 2015-03-01 |
| Skyway-Pharos Asset Management Limited 天順(法路氏)資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2011-09-23 | 2011-11-30 |
| Skyway-Pharos Asset Management Limited 天順(法路氏)資產管理有限公司 |
Rep | Type 9 — Asset management | 2011-09-23 | 2011-11-30 |
| CMBC Securities Company Limited 民銀證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-06-24 | 2010-01-31 |