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LAU Sum Yi

劉心怡
CE BNW971Licensed IndividualSFO licence active
Official SFC record

LAU Sum Yi (CE number BNW971) is an individual licensed by the Hong Kong SFC. First licensed on 2018-12-04. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities).

Regulated Activities (on record) (2)

RA 1 Dealing in Securities
RA 4 Advising on Securities

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeEQT Partners Capital Limited
殷拓資本有限公司

Licence Record (4)

2024-10-08 – present Current
EQT Partners Capital Limited Rep
RA 1 RA 4
2023-10-11 – 2024-08-09
iCapital Hong Kong Limited RO
RA 1 RA 4
2023-10-10 – 2023-10-11
iCapital Hong Kong Limited Rep
RA 1 RA 4
2018-12-04 – 2021-11-12
Ping An of China Asset Management (Hong Kong) 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/BNW971