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LAU Yee Ho, Roger

劉以浩
CE ASS671Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LAU Yee Ho, Roger (CE number ASS671) is an individual licensed by the Hong Kong SFC. First licensed on 2009-05-05. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

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

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerSun Life Asset Management (HK) Limited
永明資產管理(香港)有限公司

Licence Record (4)

2026-03-17 – present Current
Sun Life Asset Management (HK) Limited RO
RA 4 RA 9
2022-09-22 – 2025-11-04
Schroder Investment Management (Hong Kong) Limited RO
RA 1 RA 4
2010-02-09 – 2025-11-04
Schroder Investment Management (Hong Kong) Limited Rep
RA 1 RA 4 RA 9
2009-05-05 – 2010-01-28
Bank Consortium Trust Company 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/ASS671