Ricky Lau
劉澍旻
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ricky Lau (劉澍旻), a licensed former licensee with CE reference AEM916. This person has 10.2 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Tang Ping Kong Limited 太平行證券有限公司 |
Rep | Type 1 - Dealing in securities | 2012-06-06 | 2016-08-10 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 1 - Dealing in securities | 2007-08-09 | 2011-11-29 |
| Tang Ping Kong Limited 太平行證券有限公司 |
Rep | Type 1 - Dealing in securities | 2005-12-14 | 2007-07-21 |
| Tang Ping Kong Limited 太平行證券有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-05-23 |
| Tang Ping Kong Limited 太平行證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-05-23 |
| Tang Ping Kong Limited 太平行證券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-05-23 |
| Tang Ping Kong Limited 太平行證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-05-23 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ricky 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.