LAU Shek Yuen, Simon

劉錫源

CE ADW646Licensed IndividualResponsible OfficerSFO licence active

LAU Shek Yuen, Simon (CE number ADW646) 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 5 (Advising on futures), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (6)

RA 1 Dealing in Securities

RA 2 Dealing in Futures Contracts

RA 4 Advising on Securities

RA 5 Advising on Futures Contracts

RA 6 Advising on Corporate Finance

RA 9 Asset Management

Roles & Accreditations (1)

Capacity	Company / Institution
Responsible Officer	Aurora Borealis Investment Services Limited 北極光證券投資服務有限公司

Licence Record (10)

2016-05-18 – present Current

Aurora Borealis Investment Services Limited RO

RA 1 RA 4 RA 9

2010-06-11 – 2014-03-13

OnePlatform Asset Management Limited Rep

RA 9

2010-04-01 – 2014-03-13

OnePlatform Asset Management Limited RO

RA 1

2008-12-24 – 2013-04-23

CIS Securities Asset Management Limited Rep

RA 2 RA 9

2007-12-07 – 2016-05-05

CIS Securities Asset Management Limited RO

RA 1 RA 2 RA 4 RA 9

2005-02-08 – 2007-07-06

Hua Nan Securities (HK) Limited RO

RA 1

2005-02-03 – 2005-02-08

Hua Nan Securities (HK) Limited Rep

RA 1

2004-04-26 – 2005-02-03

Beijing Securities Limited RO

RA 1

2004-04-21 – 2004-04-26

Beijing Securities Limited Rep

RA 1

2003-04-01 – 2004-03-08

Fuhwa Securities (Hong Kong) Co., Limited RO

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/ADW646