Dorothy Kwok Cheung Lau
劉幗璋
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dorothy Kwok Cheung Lau (劉幗璋), a licensed Responsible Officer with CE reference AEY067. Currently licensed at 1 firm(s): Chocolate Asset Management Limited. Active regulated activities: Type 9 — Asset management. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Chocolate Asset Management Limited 巧力資產管理有限公司 |
RO | Type 9 — Asset management | 2017-09-04 | present |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2010-10-05 | 2015-06-16 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2010-08-24 | 2015-06-16 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2010-08-24 | 2010-12-16 |
| Minerva Capital Management Limited |
RO | Type 9 — Asset management | 2009-06-19 | 2010-02-24 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2008-04-15 | 2009-05-01 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-04-15 | 2009-05-01 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | present | 2004-09-25 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2004-09-25 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 — Advising on securities | present | 2004-09-25 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-09-25 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-09-25 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 — Asset management | present | 2004-09-25 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2004-09-25 |