Derrick Wang Yip Lau
劉宏業
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Derrick Wang Yip Lau (劉宏業), a licensed former licensee with CE reference AAU800. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Galaxy International Futures (Hong Kong) Co., Limited 中國銀河國際期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2017-09-21 | 2022-09-13 |
| China Galaxy International Asset Management (Hong Kong) Co., Limited 中國銀河國際資産管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2013-02-25 | 2022-09-13 |
| China Galaxy International Asset Management (Hong Kong) Co., Limited 中國銀河國際資産管理(香港)有限公司 |
RO | Type 9 — Asset management | 2013-02-25 | 2022-09-13 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2012-07-23 | 2022-09-13 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2012-03-13 | 2022-09-13 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2011-09-12 | 2022-09-13 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
RO | Type 1 — Dealing in securities | 2007-04-03 | 2011-04-07 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
RO | Type 4 — Advising on securities | 2007-04-03 | 2011-04-07 |
| Piper Jaffray Asia Limited 派杰亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2005-06-17 | 2011-04-07 |
| Piper Jaffray Asia Limited 派杰亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2005-06-17 | 2011-04-07 |
| Polaris Capital (Asia) Limited 寶來資本(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | present | 2005-01-12 |
| Polaris Capital (Asia) Limited 寶來資本(亞洲)有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2005-01-12 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2004-11-04 |