Lau, Mimi Hong Ting 劉康婷
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Advising on corporate finance | 2004-10-12 | |
| 2 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Advising on securities | 2004-10-12 | |
| 3 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Asset management | 2004-10-12 | |
| 4 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2004-10-27 | |
| 5 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2004-12-10 | 2006-01-11 |
| 6 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2006-06-09 | 2006-12-29 |
| 7 | Merrill Lynch (Asia Pacific) Limited | Rep | Advising on corporate finance | 2010-11-23 | 2011-06-21 |
| 8 | Merrill Lynch (Asia Pacific) Limited | Rep | Advising on securities | 2010-11-23 | 2011-06-21 |
| 9 | Merrill Lynch (Asia Pacific) Limited | Rep | Automated trading services | 2010-11-23 | 2011-06-21 |
| 10 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2010-11-23 | 2011-06-21 |
| 11 | Merrill Lynch Far East Limited | Rep | Advising on corporate finance | 2010-11-23 | 2011-06-21 |
| 12 | Merrill Lynch Far East Limited | Rep | Advising on securities | 2010-11-23 | 2011-06-21 |
| 13 | Merrill Lynch Far East Limited | Rep | Dealing in futures contracts | 2010-11-23 | 2011-06-21 |
| 14 | Merrill Lynch Far East Limited | Rep | Dealing in securities | 2010-11-23 | 2011-06-21 |
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