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LAU Ho Man

劉浩文
CE AWU132Licensed IndividualSFO licence active
Official SFC record

LAU Ho Man (CE number AWU132) is an individual licensed by the Hong Kong SFC. First licensed on 2011-02-15. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 7 (Automated trading).

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 7 Providing Automated Trading Services

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeBNP Paribas Securities (Asia) Limited
法國巴黎證券(亞洲)有限公司

Licence Record (9)

2024-09-09 – present Current
BNP Paribas Securities (Asia) Limited Rep
RA 1 RA 2
2023-09-18 – 2024-05-10
UBS Securities Hong Kong Limited Rep
RA 1 RA 2
2022-12-08 – 2023-08-11
Credit Suisse (Hong Kong) Limited Rep
RA 1 RA 2
2022-12-08 – 2023-08-11
Credit Suisse Securities (Hong Kong) Limited Rep
RA 1 RA 7
2015-05-29 – 2022-09-05
Mizuho Securities Asia Limited Rep
RA 1 RA 4
2013-07-12 – 2024-05-10
UBS Securities Asia Limited Rep
RA 1 RA 2
2013-07-12 – 2015-05-24
UBS Securities Hong Kong Limited Rep
RA 1 RA 7
2013-07-12 – 2015-05-24
UBS Derivatives Hong Kong Limited Rep
RA 2
2011-02-15 – 2012-10-19
Religare Capital Markets (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/AWU132