Karen Kin Kwan Lau
劉建軍
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Karen Kin Kwan Lau (劉建軍), a licensed former licensee with CE reference AXH328. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-01-07 | 2018-05-01 |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-01-07 | 2018-05-01 |
| Guotai Junan FX Limited 國泰君安外匯有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2013-01-07 | 2018-05-01 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-06-20 | 2012-11-30 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-06-20 | 2012-11-30 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-05-18 | 2012-11-30 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-05-18 | 2012-11-30 |