Siu Man Lau
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Man Lau (劉紹文), a licensed Responsible Officer with CE reference ACV996. Currently licensed at 1 firm(s): HSBC Broking Securities (Asia) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities. This person has 23.0 years of SFC licence history. Total licence records on file: 8.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
RO | Type 4 - Advising on securities | 2016-12-01 | present |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-06-30 | present |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2016-07-22 | 2016-12-01 |
| HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-06-30 | 2016-07-01 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2014-06-30 | 2015-07-20 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2014-06-30 | 2015-07-20 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2004-07-09 | 2014-03-04 |
| CLSA Research Limited 里昂證券投資研究有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-07-06 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Siu Man 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.