Siu Ki Lau
劉紹基
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Ki Lau (劉紹基), a licensed Responsible Officer with CE reference AAW465. Currently licensed at 1 firm(s): Guosen Securities (HK) Capital Company Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 20.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
RO | Type 1 — Dealing in securities | 2017-10-19 | present |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2017-10-19 | present |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 1 — Dealing in securities | 2017-07-31 | 2017-10-30 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-07-31 | 2017-10-30 |
| Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2016-08-18 | 2017-06-01 |
| Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2016-08-18 | 2017-06-01 |
| Orient Capital (Hong Kong) Limited 東方融資(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2016-08-18 | 2017-06-01 |
| Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2016-07-06 | 2016-08-18 |
| Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2016-07-06 | 2016-08-18 |
| Orient Capital (Hong Kong) Limited 東方融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-07-06 | 2016-08-18 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2009-03-03 | 2016-05-24 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
RO | Type 4 — Advising on securities | 2009-03-03 | 2016-05-24 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2009-03-03 | 2016-05-24 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-01-07 | 2009-03-03 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2009-01-07 | 2009-03-03 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-01-07 | 2009-03-03 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 1 — Dealing in securities | present | 2008-11-14 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 4 — Advising on securities | present | 2008-11-14 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2008-11-14 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 9 — Asset management | present | 2005-01-28 |