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LAU Siu Man

劉紹文
CE ACV996Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LAU Siu Man (CE number ACV996) 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 3 (Leveraged FX), Type 4 (Advising on securities). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

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

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerHSBC Broking Securities (Asia) Limited
滙豐金融證券(亞洲)有限公司
RepresentativeHSBC Broking Securities (Asia) Limited
滙豐金融證券(亞洲)有限公司

Licence Record (7)

2016-12-01 – present Current
HSBC Broking Securities (Asia) Limited RO
RA 4
2014-06-30 – present Current
HSBC Broking Securities (Asia) Limited Rep
RA 1 RA 4
2014-06-30 – 2016-07-01
HSBC Broking Securities (Hong Kong) Limited Rep
RA 1
2014-06-30 – 2015-07-20
HSBC Broking Futures (Asia) Limited Rep
RA 2
2014-06-30 – 2015-07-20
HSBC Broking Forex (Asia) Limited Rep
RA 3
2004-07-09 – 2014-03-04
Credit Suisse (Hong Kong) Limited Rep
RA 4
2003-04-01 – 2004-07-06
CLSA Research Limited Rep
RA 4

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/ACV996