Kan Wah Lau
劉勤華
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kan Wah Lau (劉勤華), a licensed former licensee with CE reference ABT973. Total licence records on file: 23.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Core Securities Company Limited (The) 核聚證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-10-24 | 2019-04-08 |
| Core Securities Company Limited (The) 核聚證券有限公司 |
Rep | Type 4 — Advising on securities | 2018-10-24 | 2019-04-08 |
| Core Securities Company Limited (The) 核聚證券有限公司 |
Rep | Type 9 — Asset management | 2018-10-24 | 2019-04-08 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2008-09-09 | 2009-11-23 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-09-09 | 2009-11-23 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2008-09-09 | 2009-11-23 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 5 — Advising on futures contracts | 2008-09-09 | 2009-11-23 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2003-12-06 | 2012-11-09 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2003-12-06 | 2012-11-09 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | present | 2012-11-09 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 — Dealing in securities | present | 2012-11-09 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 2 — Dealing in futures contracts | present | 2003-12-06 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | present | 2012-11-09 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 — Advising on securities | present | 2012-11-09 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 5 — Advising on futures contracts | present | 2003-12-06 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-12-03 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-12-02 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 7 — Providing automated trading services | present | 2005-02-15 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 7 — Providing automated trading services | present | 2003-12-03 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | present | 2003-12-02 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 9 — Asset management | present | 2003-12-03 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 9 — Asset management | present | 2003-12-03 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2003-12-02 |