Sze Ming Lau
劉思明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sze Ming Lau (劉思明), a licensed former licensee with CE reference AHX958. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Finance Holdings Limited 中港金融證券有限公司 |
Rep | Type 1 — Dealing in securities | 2008-06-12 | 2011-01-10 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-09-21 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-09-21 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-04-13 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-04-13 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 9 — Asset management | present | 2004-04-13 |