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LAU Ka Pan

劉嘉斌
CE AXS397Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LAU Ka Pan (CE number AXS397) is an individual licensed by the Hong Kong SFC. First licensed on 2011-07-28. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 3 (Leveraged FX), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 3 Leveraged Foreign Exchange Trading
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerSeazen Resources Asset Management Limited
新城晉峰資產管理有限公司
Responsible OfficerSeazen Resources Securities Limited
新城晉峰證券有限公司

Licence Record (17)

2026-05-11 – present Current
Seazen Resources Securities Limited RO
RA 1
2026-05-11 – present Current
Seazen Resources Asset Management Limited RO
RA 4 RA 9
2026-03-30 – 2026-05-11
Seazen Resources Securities Limited Rep
RA 1
2026-03-30 – 2026-05-11
Seazen Resources Asset Management Limited Rep
RA 4 RA 9
2024-11-12 – 2026-02-22
Sheng Yuan Asset Management Limited RO
RA 9
2021-08-24 – 2026-02-22
Sheng Yuan Securities Limited RO
RA 1 RA 2 RA 4
2021-07-22 – 2023-05-22
Sheng Yuan Securities Limited Rep
RA 1 RA 2 RA 4
2021-07-22 – 2024-11-12
Sheng Yuan Asset Management Limited Rep
RA 9
2020-09-04 – 2021-07-15
YUANYIN ASSET MANAGEMENT LIMITED Rep
RA 9
2020-03-06 – 2021-07-15
YUANYIN SECURITIES LIMITED RO
RA 1 RA 4
2020-01-13 – 2020-03-06
YUANYIN SECURITIES LIMITED Rep
RA 1 RA 4
2016-12-23 – 2019-12-20
ABCI Securities Company Limited Rep
RA 1 RA 4
2016-05-25 – 2016-12-14
CMB International Futures Limited Rep
RA 2
2013-03-28 – 2016-12-14
CMB International Securities Limited Rep
RA 1
2011-07-28 – 2012-06-30
Everbright Securities Investment Services (HK) Limited Rep
RA 1
2011-07-28 – 2012-06-30
CES Commodities (HK) Limited Rep
RA 2
2011-07-28 – 2012-06-30
CES Forex (HK) Limited Rep
RA 3

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/AXS397