Tsz Wing Lau
劉子頴
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tsz Wing Lau (劉子頴), a licensed Responsible Officer with CE reference ALW219. Currently licensed at 3 firm(s): China International Capital Corporation Hong Kong Asset Management Limited, China International Capital Corporation Hong Kong Securities Limited, China International Capital Corporation Hong Kong Futures Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities; Type 5 — Advising on futures contracts; Type 9 — Asset management. Total licence records on file: 25.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →More firms doing Advising on futures contracts →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China International Capital Corporation Hong Kong Asset Management Limited 中國國際金融香港資產管理有限公司 |
Rep | Type 9 — Asset management | 2022-09-09 | present |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 1 — Dealing in securities | 2016-12-05 | present |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 4 — Advising on securities | 2016-12-05 | present |
| China International Capital Corporation Hong Kong Futures Limited 中國國際金融香港期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2016-09-13 | present |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2016-09-13 | present |
| China International Capital Corporation Hong Kong Futures Limited 中國國際金融香港期貨有限公司 |
RO | Type 5 — Advising on futures contracts | 2016-09-13 | present |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 5 — Advising on futures contracts | 2016-09-13 | present |
| CICC US Securities (Hong Kong) Limited 中金美國證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2018-10-23 | 2023-05-23 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-06-02 | 2016-12-05 |
| China International Capital Corporation Hong Kong Futures Limited 中國國際金融香港期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-06-02 | 2016-09-13 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2015-06-02 | 2016-05-23 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 4 — Advising on securities | 2015-06-02 | 2016-12-05 |
| China International Capital Corporation Hong Kong Futures Limited 中國國際金融香港期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | 2015-06-02 | 2016-09-13 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 — Dealing in securities | 2013-05-15 | 2015-04-30 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 — Advising on securities | 2013-05-15 | 2015-04-30 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2008-08-15 | 2009-11-23 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-08-15 | 2009-11-23 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2008-08-15 | 2009-11-23 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 5 — Advising on futures contracts | 2008-08-15 | 2009-11-23 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2005-04-04 | 2015-04-30 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 — Dealing in securities | 2005-04-04 | 2012-05-23 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2005-04-04 | 2015-04-30 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2005-04-04 | 2015-04-30 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 — Advising on securities | 2005-04-04 | 2012-05-23 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2005-04-04 | 2015-04-30 |