Roger Yee Ho Lau
劉以浩
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Roger Yee Ho Lau (劉以浩), a licensed Responsible Officer with CE reference ASS671. Currently licensed at 1 firm(s): Sun Life Asset Management (HK) Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Sun Life Asset Management (HK) Limited 永明資產管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2026-03-17 | present |
| Sun Life Asset Management (HK) Limited 永明資產管理(香港)有限公司 |
RO | Type 9 — Asset management | 2026-03-17 | present |
| Schroder Investment Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2022-09-22 | 2025-11-04 |
| Schroder Investment Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2022-09-22 | 2025-11-04 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2010-03-01 | 2022-09-22 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2010-03-01 | 2025-11-04 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2010-02-09 | 2022-09-22 |
| Bank Consortium Trust Company Limited 銀聯信託有限公司 |
Rep | Type 4 — Advising on securities | 2009-05-05 | 2010-01-28 |