Ka Pan Lau
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Pan Lau (劉嘉斌), a licensed Responsible Officer with CE reference AXS397. Currently licensed at 2 firm(s): Seazen Resources Securities Limited, Seazen Resources Asset Management Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 14.0 years of SFC licence history. Total licence records on file: 26.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Seazen Resources Securities Limited 新城晉峰證券有限公司 |
RO | Type 1 - Dealing in securities | 2026-05-11 | present |
| Seazen Resources Asset Management Limited 新城晉峰資產管理有限公司 |
RO | Type 4 - Advising on securities | 2026-05-11 | present |
| Seazen Resources Asset Management Limited 新城晉峰資產管理有限公司 |
RO | Type 9 - Asset management | 2026-05-11 | present |
| Seazen Resources Securities Limited 新城晉峰證券有限公司 |
Rep | Type 1 - Dealing in securities | 2026-03-30 | 2026-05-11 |
| Seazen Resources Asset Management Limited 新城晉峰資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2026-03-30 | 2026-05-11 |
| Seazen Resources Asset Management Limited 新城晉峰資產管理有限公司 |
Rep | Type 9 - Asset management | 2026-03-30 | 2026-05-11 |
| Sheng Yuan Asset Management Limited 盛源資產管理有限公司 |
RO | Type 9 - Asset management | 2024-11-12 | 2026-02-22 |
| Sheng Yuan Securities Limited 盛源證券有限公司 |
RO | Type 2 - Dealing in futures contracts | 2023-05-22 | 2026-02-22 |
| Sheng Yuan Securities Limited 盛源證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2021-10-19 | 2023-05-22 |
| Sheng Yuan Securities Limited 盛源證券有限公司 |
RO | Type 1 - Dealing in securities | 2021-08-24 | 2026-02-22 |
| Sheng Yuan Securities Limited 盛源證券有限公司 |
RO | Type 4 - Advising on securities | 2021-08-24 | 2026-02-22 |
| Sheng Yuan Securities Limited 盛源證券有限公司 |
Rep | Type 1 - Dealing in securities | 2021-07-22 | 2021-08-24 |
| Sheng Yuan Securities Limited 盛源證券有限公司 |
Rep | Type 4 - Advising on securities | 2021-07-22 | 2021-08-24 |
| Sheng Yuan Asset Management Limited 盛源資產管理有限公司 |
Rep | Type 9 - Asset management | 2021-07-22 | 2024-11-12 |
| YUANYIN ASSET MANAGEMENT LIMITED 原銀資產管理有限公司 |
Rep | Type 9 - Asset management | 2020-09-04 | 2021-07-15 |
| YUANYIN SECURITIES LIMITED 原銀證券有限公司 |
RO | Type 1 - Dealing in securities | 2020-03-06 | 2021-07-15 |
| YUANYIN SECURITIES LIMITED 原銀證券有限公司 |
RO | Type 4 - Advising on securities | 2020-03-06 | 2021-07-15 |
| YUANYIN SECURITIES LIMITED 原銀證券有限公司 |
Rep | Type 1 - Dealing in securities | 2020-01-13 | 2020-03-06 |
| YUANYIN SECURITIES LIMITED 原銀證券有限公司 |
Rep | Type 4 - Advising on securities | 2020-01-13 | 2020-03-06 |
| ABCI Securities Company Limited 農銀國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2017-09-04 | 2019-12-20 |
| ABCI Securities Company Limited 農銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2016-12-23 | 2019-12-20 |
| CMB International Futures Limited 招銀國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-05-25 | 2016-12-14 |
| CMB International Securities Limited 招銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2013-03-28 | 2016-12-14 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 1 - Dealing in securities | 2011-07-28 | 2012-06-30 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-07-28 | 2012-06-30 |
| CES Forex (HK) Limited 光證外匯（香港）有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2011-07-28 | 2012-06-30 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ka Pan 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.