Simon Shek Yuen Lau
劉錫源
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Simon Shek Yuen Lau (劉錫源), a licensed Responsible Officer with CE reference ADW646. Currently licensed at 1 firm(s): Aurora Borealis Investment Services Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 16.
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 |
|---|---|---|---|---|
| Aurora Borealis Investment Services Limited 北極光證券投資服務有限公司 |
RO | Type 1 — Dealing in securities | 2016-05-18 | present |
| Aurora Borealis Investment Services Limited 北極光證券投資服務有限公司 |
RO | Type 4 — Advising on securities | 2016-05-18 | present |
| Aurora Borealis Investment Services Limited 北極光證券投資服務有限公司 |
RO | Type 9 — Asset management | 2016-05-18 | present |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
RO | Type 9 — Asset management | 2013-04-23 | 2016-05-05 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
Rep | Type 9 — Asset management | 2013-02-04 | 2013-04-23 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
RO | Type 2 — Dealing in futures contracts | 2011-12-21 | 2016-05-05 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
Rep | Type 9 — Asset management | 2010-06-11 | 2014-03-13 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2010-04-01 | 2014-03-13 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-12-24 | 2011-12-21 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
RO | Type 4 — Advising on securities | 2008-12-24 | 2016-05-05 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2007-12-07 | 2016-05-05 |
| Hua Nan Securities (HK) Limited 華南永昌證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2005-02-08 | 2007-07-06 |
| Hua Nan Securities (HK) Limited 華南永昌證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2005-02-03 | 2005-02-08 |
| Beijing Securities Limited 北京證券有限公司 |
RO | Type 1 — Dealing in securities | 2004-04-26 | 2005-02-03 |
| Beijing Securities Limited 北京證券有限公司 |
Rep | Type 1 — Dealing in securities | 2004-04-21 | 2004-04-26 |
| Fuhwa Securities (Hong Kong) Co., Limited 復華證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | present | 2004-03-08 |