Sammy Chung Hing Lau
劉頌興
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sammy Chung Hing Lau (劉頌興), a licensed Responsible Officer with CE reference AAE939. Currently licensed at 1 firm(s): Basis Asset Management Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 31.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Basis Asset Management Limited 格致資產管理有限公司 |
RO | Type 4 — Advising on securities | 2021-01-29 | present |
| Basis Asset Management Limited 格致資產管理有限公司 |
RO | Type 9 — Asset management | 2021-01-29 | present |
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 |
RO | Type 1 — Dealing in securities | 2017-12-28 | 2020-01-24 |
| GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2012-08-30 | 2020-01-24 |
| GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 |
RO | Type 9 — Asset management | 2012-08-30 | 2020-01-24 |
| GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2012-07-03 | 2012-08-30 |
| Seekers Advisors H.K. Limited | RO | Type 9 — Asset management | 2012-03-23 | 2012-06-18 |
| China International Capital Corporation Hong Kong Asset Management Limited 中國國際金融香港資產管理有限公司 |
RO | Type 4 — Advising on securities | 2008-10-22 | 2011-08-27 |
| China International Capital Corporation Hong Kong Asset Management Limited 中國國際金融香港資產管理有限公司 |
RO | Type 9 — Asset management | 2008-10-09 | 2011-08-27 |
| China International Capital Corporation Hong Kong Asset Management Limited 中國國際金融香港資產管理有限公司 |
Rep | Type 9 — Asset management | 2008-09-12 | 2008-10-09 |
| Ping An of China Asset Management (Hong Kong) Company Limited 中國平安資產管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2008-05-29 | 2008-08-30 |
| Ping An of China Asset Management (Hong Kong) Company Limited 中國平安資產管理(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | 2008-05-29 | 2008-08-30 |
| Ping An of China Asset Management (Hong Kong) Company Limited 中國平安資產管理(香港)有限公司 |
RO | Type 9 — Asset management | 2007-06-04 | 2008-08-30 |
| Ping An of China Asset Management (Hong Kong) Company Limited 中國平安資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2007-04-11 | 2007-06-04 |
| Nexus Investment Management Limited | Rep | Type 4 — Advising on securities | 2006-10-13 | 2006-11-20 |
| Nexus Investment Management Limited | Rep | Type 9 — Asset management | 2006-10-13 | 2006-11-20 |
| BOCI Asset Management Limited 中銀國際資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2006-02-27 | 2006-08-01 |
| BOCI Asset Management Limited 中銀國際資產管理有限公司 |
RO | Type 4 — Advising on securities | 2006-02-27 | 2006-08-01 |
| BOCI Asset Management Limited 中銀國際資產管理有限公司 |
RO | Type 5 — Advising on futures contracts | 2006-02-27 | 2006-08-01 |
| BOCI Asset Management Limited 中銀國際資產管理有限公司 |
RO | Type 9 — Asset management | 2006-02-27 | 2006-08-01 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2006-01-18 | 2006-08-01 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
RO | Type 4 — Advising on securities | 2006-01-18 | 2006-08-01 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
RO | Type 5 — Advising on futures contracts | 2006-01-18 | 2006-08-01 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
RO | Type 9 — Asset management | 2006-01-18 | 2006-08-01 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2005-12-20 | 2006-01-18 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
Rep | Type 9 — Asset management | 2005-12-20 | 2006-01-18 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2005-07-15 | 2005-10-24 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2005-07-15 | 2005-10-24 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | present | 2005-11-30 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-05-06 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2005-11-30 |