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LAU Siu Ki

劉紹基
CE AAW465Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LAU Siu Ki (CE number AAW465) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerGuosen Securities (HK) Capital Company Limited
國信證券(香港)融資有限公司

Licence Record (9)

2017-10-19 – present Current
Guosen Securities (HK) Capital Company Limited RO
RA 1 RA 6
2017-07-31 – 2017-10-30
Guosen Securities (HK) Capital Company Limited Rep
RA 1 RA 6
2016-08-18 – 2017-06-01
Orient Securities (Hong Kong) Limited RO
RA 1 RA 4
2016-08-18 – 2017-06-01
Orient Capital (Hong Kong) Limited RO
RA 6
2016-07-06 – 2016-08-18
Orient Securities (Hong Kong) Limited Rep
RA 1 RA 4
2016-07-06 – 2016-08-18
Orient Capital (Hong Kong) Limited Rep
RA 6
2009-03-03 – 2016-05-24
Mizuho Securities Asia Limited RO
RA 1 RA 4 RA 6
2009-01-07 – 2009-03-03
Mizuho Securities Asia Limited Rep
RA 1 RA 4 RA 6
2003-04-01 – 2008-11-14
DBS Asia Capital Limited RO
RA 1 RA 4 RA 6 RA 9

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AAW465