Yik Ting Lau
劉奕霆
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yik Ting Lau (劉奕霆), a licensed Responsible Officer with CE reference BBW340. Currently licensed at 2 firm(s): CMB International Securities Limited, CMB International Futures Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities. Total licence records on file: 35.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CMB International Securities Limited 招銀國際證券有限公司 |
RO | Type 1 - Dealing in securities | 2026-06-03 | present |
| CMB International Futures Limited 招銀國際期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2026-06-03 | present |
| CMB International Securities Limited 招銀國際證券有限公司 |
RO | Type 4 - Advising on securities | 2026-06-03 | present |
| CMB International Securities Limited 招銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2025-12-09 | 2026-06-03 |
| CMB International Futures Limited 招銀國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2025-12-09 | 2026-06-03 |
| CMB International Securities Limited 招銀國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2025-12-09 | 2026-06-03 |
| Hash Blockchain Limited | Rep | Type 1 - Dealing in securities | 2024-10-10 | 2025-11-07 |
| Hash Blockchain Limited | Rep | Type 7 - Providing automated trading services | 2024-10-10 | 2025-11-07 |
| HBS (Hong Kong) Limited |
RO | Type 1 - Dealing in securities | 2024-09-25 | 2025-11-07 |
| HBS (Hong Kong) Limited |
RO | Type 4 - Advising on securities | 2024-09-25 | 2025-11-07 |
| HBS (Hong Kong) Limited |
Rep | Type 1 - Dealing in securities | 2024-08-09 | 2024-09-25 |
| HBS (Hong Kong) Limited |
Rep | Type 4 - Advising on securities | 2024-08-09 | 2024-09-25 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2023-09-12 | 2024-07-15 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 7 - Providing automated trading services | 2023-07-10 | 2024-07-15 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 4 - Advising on securities | 2023-04-18 | 2024-07-15 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2020-10-15 | 2024-07-15 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2020-07-16 | 2023-09-12 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2020-07-13 | 2020-10-15 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2020-07-13 | 2023-04-18 |
| Pearl Bridge Securities Limited 橋匯證券有限公司 |
RO | Type 1 - Dealing in securities | 2020-06-15 | 2020-06-26 |
| Pearl Bridge Securities Limited 橋匯證券有限公司 |
RO | Type 4 - Advising on securities | 2020-06-15 | 2020-06-26 |
| Pearl Bridge Securities Limited 橋匯證券有限公司 |
Rep | Type 1 - Dealing in securities | 2020-05-21 | 2020-06-15 |
| Pearl Bridge Securities Limited 橋匯證券有限公司 |
Rep | Type 4 - Advising on securities | 2020-05-21 | 2020-06-15 |
| Finex Hong Kong Limited | RO | Type 1 - Dealing in securities | 2018-11-16 | 2019-10-12 |
| Finex Hong Kong Limited | RO | Type 4 - Advising on securities | 2018-11-16 | 2019-10-12 |
| Finex Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2018-10-15 | 2018-11-16 |
| Finex Hong Kong Limited | Rep | Type 4 - Advising on securities | 2018-10-15 | 2018-11-16 |
| Open Securities Limited 開盤證券有限公司 |
Rep | Type 4 - Advising on securities | 2018-07-04 | 2018-10-05 |
| Open Asset Management Limited 開盤資産管理有限公司 |
Rep | Type 9 - Asset management | 2017-07-10 | 2018-10-05 |
| Open Securities Limited 開盤證券有限公司 |
Rep | Type 1 - Dealing in securities | 2017-05-22 | 2018-10-05 |
| Open Securities Limited 開盤證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2017-05-22 | 2018-10-05 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-07-14 | 2017-05-08 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2016-04-27 | 2017-05-08 |
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2014-02-18 | 2016-04-11 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2013-09-16 | 2014-01-25 |