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LAU Siu Ming

劉兆明
CE AED874Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LAU Siu Ming (CE number AED874) 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 (2)

CapacityCompany / Institution
Responsible OfficerHung Sing Asset Management Limited
鴻昇資產管理有限公司
RepresentativeHung Sing Securities Limited
鴻昇證券有限公司

Licence Record (4)

2019-08-23 – present Current
Hung Sing Asset Management Limited RO
RA 4 RA 9
2003-04-01 – present Current
Hung Sing Securities Limited Rep
RA 1 RA 4 RA 6 RA 9
2016-08-30 – 2019-08-27
Hung Sing Securities Limited RO
RA 4 RA 9
2006-12-01 – 2006-12-01
Whole Win Securities 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/AED874