Lucia Tak Yee Lau
劉德怡
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lucia Tak Yee Lau (劉德怡), a licensed Representative with CE reference ANY277. Currently licensed at 2 firm(s): HSBC Global Asset Management (Hong Kong) Limited, HSBC Investment Funds (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 14.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2019-08-15 | present |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 9 — Asset management | 2019-08-15 | present |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2019-07-22 | present |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2019-07-22 | present |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2019-07-22 | present |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2019-07-22 | present |
| Yunfeng Financial Markets Limited 雲鋒金融市場有限公司 |
Rep | Type 1 — Dealing in securities | 2017-07-31 | 2019-06-21 |
| Yunfeng Securities Limited 雲鋒證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-07-31 | 2019-06-21 |
| Yunfeng Financial Markets Limited 雲鋒金融市場有限公司 |
Rep | Type 4 — Advising on securities | 2017-07-31 | 2019-06-21 |
| Yunfeng Securities Limited 雲鋒證券有限公司 |
Rep | Type 4 — Advising on securities | 2017-07-31 | 2019-06-21 |
| SAIL Advisors Limited | Rep | Type 4 — Advising on securities | 2013-12-16 | 2017-06-01 |
| SAIL Advisors Limited | Rep | Type 9 — Asset management | 2013-12-16 | 2017-06-01 |
| Penjing Asset Management (HK) Limited 盆景資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2006-09-20 | 2013-11-29 |
| Penjing Asset Management (HK) Limited 盆景資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2006-09-20 | 2013-11-29 |