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LAU Ka Yip, Eddy

劉家業
CE ACD286Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LAU Ka Yip, Eddy (CE number ACD286) is an individual licensed by the Hong Kong SFC. First licensed on 2005-09-29. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 3 (Leveraged FX), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (6)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 3 Leveraged Foreign Exchange Trading
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerCITIC Securities Brokerage (HK) Limited
中信証券經紀(香港)有限公司
Responsible OfficerCITIC Securities Futures (HK) Limited
中信証券期貨(香港)有限公司

Licence Record (21)

2012-05-03 – present Current
CITIC Securities Brokerage (HK) Limited RO
RA 1 RA 4
2012-05-03 – present Current
CITIC Securities Futures (HK) Limited RO
RA 2
2019-09-23 – 2023-05-31
CA Premium International (HK) Limited RO
RA 3
2012-03-27 – 2012-05-03
CITIC Securities Brokerage (HK) Limited Rep
RA 1
2012-03-27 – 2012-05-03
CITIC Securities Futures (HK) Limited Rep
RA 2
2011-06-09 – 2012-03-21
ICBC International Fund Management Limited RO
RA 1 RA 9
2011-06-09 – 2012-03-21
ICBC International Securities Limited RO
RA 1
2011-06-09 – 2012-03-21
ICBC International Futures Limited RO
RA 2
2011-06-09 – 2012-03-21
ICBC International Asset Management Limited RO
RA 9
2011-05-16 – 2011-06-09
ICBC International Securities Limited Rep
RA 1
2011-05-16 – 2011-06-09
ICBC International Futures Limited Rep
RA 2
2011-05-16 – 2011-06-09
ICBC International Asset Management Limited Rep
RA 9
2011-05-16 – 2011-06-09
ICBC International Fund Management Limited Rep
RA 9
2008-01-08 – 2011-05-03
China Everbright Forex & Futures (HK) Limited RO
RA 2
2007-07-05 – 2011-05-03
China Everbright Securities (HK) Limited RO
RA 1 RA 9
2007-06-05 – 2011-05-03
China Everbright Forex & Futures (HK) Limited Rep
RA 2 RA 3
2007-01-15 – 2009-10-13
China Everbright Securities (HK) Limited Rep
RA 1 RA 9
2006-11-27 – 2006-12-15
GT Capital Limited Rep
RA 1
2006-09-01 – 2006-10-26
Asia Pacific Securities Limited Rep
RA 1 RA 4
2006-09-01 – 2006-10-26
Yue Xiu Futures Company Limited Rep
RA 2 RA 5
2005-09-29 – 2006-08-31
GT Capital Limited RO
RA 1 RA 2 RA 4 RA 5 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/ACD286