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

HAU Siu Laam

侯肇嵐
CE AXL892Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

HAU Siu Laam (CE number AXL892) is an individual licensed by the Hong Kong SFC. First licensed on 2011-08-29. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerAsian Capital Limited
卓亞融資有限公司

Licence Record (3)

2017-11-02 – present Current
Asian Capital Limited RO
RA 6
2017-03-15 – 2017-03-31
Neutral Financial Holding Company Limited RO
RA 6
2011-08-29 – 2017-03-31
Neutral Financial Holding Company Limited Rep
RA 1 RA 6 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/AXL892