Yan Ting (SFC:BAX545) Lau
劉欣庭
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yan Ting (SFC:BAX545) Lau (劉欣庭), a licensed former licensee with CE reference BAX545. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Karl Thomson Investment Consultants Limited 高信投資顧問有限公司 |
Rep | Type 4 — Advising on securities | 2017-03-06 | 2017-11-22 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 9 — Asset management | 2017-03-06 | 2017-11-22 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-06-06 | 2017-11-22 |
| Karl-Thomson Commodities Company Limited 高信商品期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-06-06 | 2017-11-22 |
| 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 | 2013-02-22 | 2014-05-23 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-02-22 | 2014-05-23 |