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LAU Chi Yin, Thomas

劉志賢
CE AHP755Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LAU Chi Yin, Thomas (CE number AHP755) 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 4 (Advising on securities), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerUnited Gain Investment Limited
聯威投資有限公司

Licence Record (4)

2021-10-11 – present Current
United Gain Investment Limited RO
RA 4 RA 9
2005-04-01 – 2005-04-01
Jolmo Capital Limited Rep
RA 4
2005-03-31 – 2021-08-31
Jolmo Capital Limited RO
RA 4 RA 6 RA 9
2003-04-01 – 2005-03-31
Cypress International Investment Advisors Limited Rep
RA 4 RA 6 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/AHP755