Kwok Hei Lau
劉國熙
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Hei Lau (劉國熙), a licensed Responsible Officer with CE reference AOQ599. Currently licensed at 1 firm(s): Huatai Financial Holdings (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities; Type 7 — Providing automated trading services. Total licence records on file: 42.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →More firms doing Providing automated trading services →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2025-03-27 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2025-03-27 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 4 — Advising on securities | 2025-03-27 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 7 — Providing automated trading services | 2025-03-27 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2025-02-10 | 2025-03-27 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2025-02-10 | 2025-03-27 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2025-02-10 | 2025-03-27 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | 2025-02-10 | 2025-03-27 |
| AA Investment Management Limited 安安投資管理有限公司 |
RO | Type 1 — Dealing in securities | 2023-01-03 | 2024-10-25 |
| AA Investment Management Limited 安安投資管理有限公司 |
RO | Type 4 — Advising on securities | 2023-01-03 | 2024-10-25 |
| AA Investment Management Limited 安安投資管理有限公司 |
RO | Type 9 — Asset management | 2023-01-03 | 2024-10-25 |
| Ark Group Holdings (Hong Kong) Limited 方舟集團控股（香港）有限公司 |
RO | Type 1 — Dealing in securities | 2021-09-29 | 2022-03-04 |
| Ark Group Holdings (Hong Kong) Limited 方舟集團控股（香港）有限公司 |
RO | Type 4 — Advising on securities | 2021-09-29 | 2022-03-04 |
| Ark Group Holdings (Hong Kong) Limited 方舟集團控股（香港）有限公司 |
RO | Type 9 — Asset management | 2021-09-29 | 2022-03-04 |
| Ark Group Holdings (Hong Kong) Limited 方舟集團控股（香港）有限公司 |
Rep | Type 1 — Dealing in securities | 2021-08-27 | 2021-09-29 |
| Ark Group Holdings (Hong Kong) Limited 方舟集團控股（香港）有限公司 |
Rep | Type 4 — Advising on securities | 2021-08-27 | 2021-09-29 |
| Ark Group Holdings (Hong Kong) Limited 方舟集團控股（香港）有限公司 |
Rep | Type 9 — Asset management | 2021-08-27 | 2021-09-29 |
| uSmart Securities Limited 盈立證券有限公司 |
RO | Type 4 — Advising on securities | 2021-03-02 | 2021-06-15 |
| uSmart Securities Limited 盈立證券有限公司 |
RO | Type 9 — Asset management | 2021-03-02 | 2021-06-15 |
| uSmart Securities Limited 盈立證券有限公司 |
RO | Type 1 — Dealing in securities | 2019-08-27 | 2021-06-15 |
| uSmart Securities Limited 盈立證券有限公司 |
Rep | Type 1 — Dealing in securities | 2019-07-09 | 2019-08-27 |
| oOo Securities (HK) Group Limited 奧翱驁集團(香港)證券有限公司 |
RO | Type 1 — Dealing in securities | 2019-03-18 | 2019-05-30 |
| oOo Securities (HK) Group Limited 奧翱驁集團(香港)證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2019-03-18 | 2019-05-30 |
| Kaisa Financial Group Company Limited 佳兆業金融集團有限公司 |
RO | Type 1 — Dealing in securities | 2018-02-26 | 2018-11-15 |
| Kaisa Financial Group Company Limited 佳兆業金融集團有限公司 |
Rep | Type 1 — Dealing in securities | 2017-11-28 | 2018-02-26 |
| Kaisa Asset Management Limited 佳兆業資產管理有限公司 |
Rep | Type 9 — Asset management | 2017-11-28 | 2018-11-15 |
| South China Futures Investment Limited 南華期貨投資有限公司 |
RO | Type 2 — Dealing in futures contracts | 2017-07-13 | 2017-10-27 |
| 313 Capital Management Limited 313資本管理有限公司 |
Rep | Type 9 — Asset management | 2017-03-10 | 2017-10-27 |
| Excellent Tide Securities Limited 佳湧證券有限公司 |
RO | Type 1 — Dealing in securities | 2016-12-21 | 2017-10-27 |
| Excellent Tide Securities Limited 佳湧證券有限公司 |
Rep | Type 1 — Dealing in securities | 2016-10-26 | 2016-12-21 |
| Frontier Capital Management Limited 方達資本管理有限公司 |
RO | Type 1 — Dealing in securities | 2015-12-01 | 2016-10-22 |
| Frontier Capital Management Limited 方達資本管理有限公司 |
Rep | Type 1 — Dealing in securities | 2015-10-28 | 2015-12-01 |
| Central China International Securities Co., Limited 中州國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-08-10 | 2015-10-19 |
| SinoPac Asset Management (Asia) Limited 永豐金資產管理(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-09-29 | 2015-07-20 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-05-21 | 2015-07-20 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-04-30 | 2015-07-20 |
| SinoPac Futures (Asia) Limited 永豐金期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-04-30 | 2014-03-31 |
| Ark Securities (Hong Kong) Limited 同舟證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-11-29 | 2012-04-16 |
| Ark Futures (Hong Kong) Limited 同舟期貨（香港）有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-11-29 | 2012-04-16 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2010-10-15 | 2010-11-25 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2007-04-11 | 2010-11-25 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-04-11 | 2010-11-25 |