Wai Ming Lau
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Ming Lau (劉偉明), a licensed Responsible Officer with CE reference ACD916. Currently licensed at 2 firm(s): SPS Investment Services Limited, SPS Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 23.4 years of SFC licence history. Total licence records on file: 10.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SPS Investment Services Limited 新寶城投資顧問有限公司 |
RO | Type 4 - Advising on securities | 2005-01-26 | present |
| SPS Securities Limited 新寶城證券有限公司 |
RO | Type 1 - Dealing in securities | Pre-2003 | present |
| SPS Securities Limited 新寶城證券有限公司 |
RO | Type 9 - Asset management | Pre-2003 | present |
| SPS Commodities Limited 新寶城期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2005-01-26 | 2023-12-18 |
| SPS Investment Services Limited 新寶城投資顧問有限公司 |
RO | Type 6 - Advising on corporate finance | 2005-01-26 | 2018-04-13 |
| SPS Securities Limited 新寶城證券有限公司 |
Rep | Type 4 - Advising on securities | 2005-01-25 | 2005-01-26 |
| SPS Securities Limited 新寶城證券有限公司 |
Rep | Type 6 - Advising on corporate finance | 2005-01-25 | 2005-01-26 |
| SPS Investment Services Limited 新寶城投資顧問有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-10-02 |
| SPS Securities Limited 新寶城證券有限公司 |
RO | Type 4 - Advising on securities | Pre-2003 | 2005-01-25 |
| SPS Securities Limited 新寶城證券有限公司 |
RO | Type 6 - Advising on corporate finance | Pre-2003 | 2005-01-25 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Wai Ming 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.