Lau, Swan Fung Ngor 劉鳳娥
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 | CATHAYSIA ASSET MANAGEMENT LIMITED | Rep | Asset management | 2019-03-11 | 2022-07-29 |
| 2 | CATHAYSIA SECURITIES LIMITED | Rep | Dealing in securities | 2017-03-07 | 2017-08-31 | RO | Dealing in securities | 2017-08-31 | 2022-07-29 | RO | Advising on securities | 2022-04-28 | 2022-07-29 |
| 3 | Goldin Equities Limited | Rep | Dealing in securities | 2008-10-02 | 2009-05-06 |
| 4 | Huarong International Securities Limited | Rep | Dealing in securities | 2009-06-25 | 2010-11-06 | Rep | Advising on securities | 2009-08-31 | 2010-11-06 | Rep | Dealing in futures contracts | 2009-11-19 | 2010-11-06 |
| 5 | Long Asia Asset Management (HK) Limited | Rep | Advising on securities | 2018-03-20 | 2018-12-07 | Rep | Asset management | 2018-03-20 | 2018-12-07 |
| 6 | Quam Securities Limited | Rep | Dealing in futures contracts | 2010-11-23 | 2015-07-11 | Rep | Dealing in securities | 2010-11-23 | 2015-07-11 | Rep | Asset management | 2014-02-18 | 2015-07-11 |
| 7 | ZHONGTAI INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2015-07-30 | 2017-03-01 |
| 8 | ZHONGTAI INTERNATIONAL SECURITIES LIMITED | Rep | Dealing in securities | 2015-07-30 | 2017-03-01 |
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