Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

LAU Tak Yee, Lucia

劉德怡
CE ANY277Licensed IndividualSFO licence active
Official SFC record

LAU Tak Yee, Lucia (CE number ANY277) is an individual licensed by the Hong Kong SFC. First licensed on 2006-09-20. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management).

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
RepresentativeHSBC Global Asset Management (Hong Kong) Limited
RepresentativeHSBC Investment Funds (Hong Kong) Limited

Licence Record (6)

2019-07-22 – present Current
HSBC Global Asset Management (Hong Kong) Limited Rep
RA 1 RA 4 RA 9
2019-07-22 – present Current
HSBC Investment Funds (Hong Kong) Limited Rep
RA 1 RA 4 RA 9
2017-07-31 – 2019-06-21
Yunfeng Financial Markets Limited Rep
RA 1 RA 4
2017-07-31 – 2019-06-21
Yunfeng Securities Limited Rep
RA 1 RA 4
2013-12-16 – 2017-06-01
SAIL Advisors Limited Rep
RA 4 RA 9
2006-09-20 – 2013-11-29
Penjing Asset Management (HK) Limited Rep
RA 4 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/ANY277