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LAU Ning Fung, Roland

劉寧鋒
CE ASZ252Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LAU Ning Fung, Roland (CE number ASZ252) is an individual licensed by the Hong Kong SFC. First licensed on 2009-06-24. 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). Currently a responsible officer at 1 firm.

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
Responsible OfficerJoy Rich Asset Management Company Limited
凱富資產管理有限公司

Licence Record (5)

2021-02-01 – present Current
Joy Rich Asset Management Company Limited RO
RA 9
2017-04-25 – 2017-10-25
Joy Rich Securities Investment Limited RO
RA 1
2012-01-10 – 2015-03-01
CMBC International Futures Company Limited Rep
RA 2
2011-09-23 – 2011-11-30
Skyway-Pharos Asset Management Limited Rep
RA 4 RA 9
2009-06-24 – 2015-03-01
CMBC Securities Company Limited Rep
RA 1 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/ASZ252