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

LAU Wai Yin

劉偉賢
CE BAK892Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LAU Wai Yin (CE number BAK892) is an individual licensed by the Hong Kong SFC. First licensed on 2012-12-07. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerFrontier Capital Management Limited
方達資本管理有限公司

Licence Record (7)

2026-02-05 – present Current
Frontier Capital Management Limited RO
RA 1 RA 4
2026-02-04 – 2026-02-05
Frontier Capital Management Limited Rep
RA 1
2020-06-18 – 2025-08-31
Cityline Securities Limited RO
RA 1
2020-02-20 – 2020-06-18
Cityline Securities Limited Rep
RA 1
2019-03-06 – 2019-09-02
Emperor Securities Limited Rep
RA 1
2019-03-06 – 2019-09-02
Emperor Futures Limited Rep
RA 2
2012-12-07 – 2018-12-04
CIS Securities Asset Management Limited Rep
RA 1 RA 2

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/BAK892