Ming Fai Lau
劉明暉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ming Fai Lau (劉明暉), a licensed former licensee with CE reference AEH948. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-05-16 | 2009-10-01 |
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2008-05-16 | 2009-10-01 |
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | 2008-05-16 | 2009-10-01 |
| AIA Wealth Management Company Limited 友邦財富管理有限公司 |
Rep | Type 1 — Dealing in securities | 2006-03-31 | 2008-05-16 |
| AIA Wealth Management Company Limited 友邦財富管理有限公司 |
Rep | Type 4 — Advising on securities | 2006-03-31 | 2008-05-16 |
| AIA Wealth Management Company Limited 友邦財富管理有限公司 |
Rep | Type 9 — Asset management | 2006-03-31 | 2008-05-16 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2005-05-12 | 2006-03-17 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
Rep | Type 5 — Advising on futures contracts | 2005-05-12 | 2006-03-17 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
Rep | Type 9 — Asset management | 2005-05-12 | 2006-03-17 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2005-04-19 | 2006-03-17 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 1 — Dealing in securities | 2005-01-28 | 2005-04-12 |
| Jefferies Bache (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2005-01-28 | 2005-04-12 |
| Hang Seng Futures Limited 恒生期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2003-12-23 | 2005-01-19 |
| Hang Seng Futures Limited 恒生期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | 2003-12-23 | 2005-01-19 |
| Hang Seng Investment Services Limited 恒生投資服務有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-01-19 |
| Hang Seng Investment Services Limited 恒生投資服務有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-11-05 |
| Hang Seng Investment Services Limited 恒生投資服務有限公司 |
Rep | Type 9 — Asset management | present | 2004-12-03 |