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LAU Raymond

劉銚之
CE AJK499Licensed IndividualSFO licence active
Official SFC record

LAU Raymond (CE number AJK499) is an individual licensed by the Hong Kong SFC. First licensed on 2004-01-15. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management).

Regulated Activities (on record) (4)

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

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeBOCI Securities Limited
中銀國際證券有限公司

Licence Record (5)

2018-12-31 – present Current
BOCI Securities Limited Rep
RA 1 RA 2 RA 4
2017-11-03 – 2018-10-12
InnoFusion Capital Management Limited Rep
RA 9
2008-01-25 – 2014-06-20
Nomura International (Hong Kong) Limited Rep
RA 1 RA 2
2007-04-18 – 2008-01-21
AIG Financial Products (International) Limited Rep
RA 1
2004-01-15 – 2007-04-05
KBC Financial Products Hong Kong 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/AJK499