Wai Ming Lau
劉偉明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Ming Lau (劉偉明), a licensed Responsible Officer with CE reference ACD916. Currently licensed at 2 firm(s): SPS Investment Services Limited, SPS Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 10.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SPS Investment Services Limited 新寶城投資顧問有限公司 |
RO | Type 4 — Advising on securities | 2005-01-26 | present |
| SPS Securities Limited 新寶城證券有限公司 |
RO | Type 1 — Dealing in securities | present | present |
| SPS Securities Limited 新寶城證券有限公司 |
RO | Type 9 — Asset management | present | present |
| SPS Commodities Limited 新寶城期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2005-01-26 | 2023-12-18 |
| SPS Investment Services Limited 新寶城投資顧問有限公司 |
RO | Type 6 — Advising on corporate finance | 2005-01-26 | 2018-04-13 |
| SPS Securities Limited 新寶城證券有限公司 |
Rep | Type 4 — Advising on securities | 2005-01-25 | 2005-01-26 |
| SPS Securities Limited 新寶城證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-01-25 | 2005-01-26 |
| SPS Investment Services Limited 新寶城投資顧問有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-10-02 |
| SPS Securities Limited 新寶城證券有限公司 |
RO | Type 4 — Advising on securities | present | 2005-01-25 |
| SPS Securities Limited 新寶城證券有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2005-01-25 |