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LAU Wai Ming

劉偉明
CE ACD916Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LAU Wai Ming (CE number ACD916) 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 2 (Futures dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerSPS Investment Services Limited
新寶城投資顧問有限公司
Responsible OfficerSPS Securities Limited
新寶城證券有限公司

Licence Record (5)

2005-01-26 – present Current
SPS Investment Services Limited RO
RA 4 RA 6
2003-04-01 – present Current
SPS Securities Limited RO
RA 1 RA 4 RA 6 RA 9
2005-01-26 – 2023-12-18
SPS Commodities Limited RO
RA 2
2005-01-25 – 2005-01-26
SPS Securities Limited Rep
RA 4 RA 6
2003-04-01 – 2003-10-02
SPS Investment Services Limited Rep
RA 1

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/ACD916