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LAU Wai Han

劉慧嫻
CE AOX216Licensed IndividualSFO licence active
Official SFC record

LAU Wai Han (CE number AOX216) is an individual licensed by the Hong Kong SFC. First licensed on 2007-05-09. 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
RepresentativeKGI Asia Limited
凱基證券亞洲有限公司
RepresentativeKGI Asset Management Limited
凱基資產管理有限公司

Licence Record (6)

2017-10-03 – present Current
KGI Asia Limited Rep
RA 1 RA 4
2013-07-29 – present Current
KGI Asset Management Limited Rep
RA 1 RA 4 RA 9
2015-07-13 – 2017-10-02
KGI Asia Limited Rep
RA 1 RA 4
2014-05-20 – 2015-07-02
Quam Securities Limited Rep
RA 1 RA 9
2007-07-19 – 2010-02-12
FWD Financial Planning Limited Rep
RA 4
2007-05-09 – 2013-10-21
T G Holborn (HK) Limited Rep
RA 4

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/AOX216