Kit Ling Lau
劉潔玲
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kit Ling Lau (劉潔玲), a licensed Responsible Officer with CE reference ALI074. Currently licensed at 2 firm(s): CITIC Securities (Hong Kong) Limited, CLSA Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 6 — Advising on corporate finance. Total licence records on file: 14.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Advising on corporate finance →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2021-12-22 | present |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2021-11-19 | present |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2021-10-19 | present |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2021-10-19 | 2021-12-22 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2021-01-13 | 2021-09-24 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2021-01-13 | 2021-09-24 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2017-09-04 | 2021-09-24 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-10-07 | 2017-09-04 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2009-04-09 | 2010-09-03 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-04-09 | 2010-09-03 |
| ICEA Capital Limited 工商東亞融資有限公司 |
Rep | Type 1 — Dealing in securities | 2007-11-22 | 2009-04-01 |
| ICEA Capital Limited 工商東亞融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-10-18 | 2009-04-01 |
| ICEA Capital Asia Limited 工商東亞融資亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-10-18 | 2008-09-30 |
| Mega Capital (Asia) Company Limited 兆豐資本(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2004-10-20 | 2007-09-30 |