Rio Nicole Lau
劉康婷
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Rio Nicole Lau (劉康婷), a licensed Representative with CE reference BTN216. Currently licensed at 1 firm(s): Mizuho Securities Asia Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2023-12-28 | present |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2023-12-28 | present |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2023-12-28 | present |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2023-03-07 | 2023-09-07 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2023-03-07 | 2023-09-07 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2023-03-07 | 2023-09-07 |