Shing Ngon Lau
劉升昂
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shing Ngon Lau (劉升昂), a licensed Responsible Officer with CE reference AAB584. Currently licensed at 2 firm(s): Prudential Brokerage Limited, Prudential Index Trading Company Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities; Type 5 — Advising on futures contracts; Type 6 — Advising on corporate finance; Type 9 — Asset management. Total licence records on file: 12.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →More firms doing Advising on futures contracts →More firms doing Advising on corporate finance →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 1 — Dealing in securities | present | present |
| Prudential Index Trading Company Limited 信誠期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | present | present |
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 4 — Advising on securities | present | present |
| Prudential Index Trading Company Limited 信誠期貨有限公司 |
RO | Type 5 — Advising on futures contracts | present | present |
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 6 — Advising on corporate finance | present | present |
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 9 — Asset management | present | present |
| Prudential Index Trading Company Limited 信誠期貨有限公司 |
RO | Type 9 — Asset management | present | present |
| Tian Yuan Finance Limited 天元金融有限公司 |
RO | Type 1 — Dealing in securities | present | 2016-06-30 |
| Tian Yuan Finance Limited 天元金融有限公司 |
RO | Type 4 — Advising on securities | present | 2016-06-30 |
| Tian Yuan Finance Limited 天元金融有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2016-10-27 |
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 7 — Providing automated trading services | present | 2008-04-21 |
| Tian Yuan Finance Limited 天元金融有限公司 |
RO | Type 9 — Asset management | present | 2016-08-15 |