Pauline Yuen Ling Lau
劉宛玲
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Pauline Yuen Ling Lau (劉宛玲), a licensed Responsible Officer with CE reference AEY548. Currently licensed at 1 firm(s): Aesop Asset Management Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Aesop Asset Management Limited 晉灃資產管理有限公司 |
RO | Type 4 — Advising on securities | 2017-06-07 | present |
| Aesop Asset Management Limited 晉灃資產管理有限公司 |
RO | Type 9 — Asset management | 2017-06-07 | present |
| Wise Torch Investments Limited 火炬金融有限公司 |
Rep | Type 4 — Advising on securities | 2017-03-20 | 2017-06-01 |
| Wise Torch Investments Limited 火炬金融有限公司 |
RO | Type 4 — Advising on securities | 2016-11-30 | 2017-03-20 |
| Wise Torch Investments Limited 火炬金融有限公司 |
RO | Type 9 — Asset management | 2016-11-30 | 2017-06-01 |
| Hongkong Bay Asset Management Limited 港湾资產管理有限公司 |
Rep | Type 4 — Advising on securities | 2016-04-18 | 2016-11-29 |
| Hongkong Bay Asset Management Limited 港湾资產管理有限公司 |
Rep | Type 9 — Asset management | 2016-04-18 | 2016-11-29 |
| BSI Investment Advisors (Hong Kong) Limited 瑞意投資顧問(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-12-06 | 2014-01-31 |
| BSI Investment Advisors (Hong Kong) Limited 瑞意投資顧問(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2010-12-06 | 2014-01-31 |
| BSI Investment Advisors (Hong Kong) Limited 瑞意投資顧問(香港)有限公司 |
Rep | Type 9 — Asset management | 2010-12-06 | 2011-10-19 |
| LBN Advisers Limited 利邦投資顧問有限公司 |
Rep | Type 9 — Asset management | 2009-10-09 | 2010-04-19 |
| GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2009-04-15 | 2009-09-18 |
| GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2009-04-15 | 2009-09-18 |
| Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 |
Rep | Type 5 — Advising on futures contracts | 2006-10-19 | 2008-12-31 |
| Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 |
Rep | Type 9 — Asset management | 2006-10-19 | 2008-12-31 |
| Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2006-08-24 | 2008-12-31 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2004-02-24 | 2006-08-11 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 4 — Advising on securities | 2003-08-28 | 2004-01-28 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-06-06 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-06-06 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 9 — Asset management | present | 2003-06-06 |