Swan Fung Ngor Lau
劉鳳娥
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Swan Fung Ngor Lau (劉鳳娥), a licensed former licensee with CE reference ARQ530. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Funde Securities Limited 富德證券有限公司 |
RO | Type 4 — Advising on securities | 2022-04-28 | 2022-07-29 |
| Funde Investment Management Limited 富德投資管理有限公司 |
Rep | Type 9 — Asset management | 2019-03-11 | 2022-07-29 |
| Innov Harbor Asset Management Limited 新灣資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2018-03-20 | 2018-12-07 |
| Innov Harbor Asset Management Limited 新灣資產管理有限公司 |
Rep | Type 9 — Asset management | 2018-03-20 | 2018-12-07 |
| Funde Securities Limited 富德證券有限公司 |
RO | Type 1 — Dealing in securities | 2017-08-31 | 2022-07-29 |
| Funde Securities Limited 富德證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-03-07 | 2017-08-31 |
| Zhongtai International Securities Limited 中泰國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-07-30 | 2017-03-01 |
| Zhongtai International Futures Limited 中泰國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-07-30 | 2017-03-01 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 9 — Asset management | 2014-02-18 | 2015-07-11 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-11-23 | 2015-07-11 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-11-23 | 2015-07-11 |
| XinKong International Securities Limited 信控國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-11-19 | 2010-11-06 |
| XinKong International Securities Limited 信控國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2009-08-31 | 2010-11-06 |
| XinKong International Securities Limited 信控國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-06-25 | 2010-11-06 |
| Goldin Equities Limited 高銀(證券)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-10-02 | 2009-05-06 |