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LAU Pak Kin Patric

劉栢堅
CE BOT897Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LAU Pak Kin Patric (CE number BOT897) is an individual licensed by the Hong Kong SFC. First licensed on 2019-09-06. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 3 firms.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (5)

CapacityCompany / Institution
Responsible OfficerFunderstone Asset Management (HK) Limited
Responsible OfficerFunderstone Futures Limited
Responsible OfficerFunderstone Securities Limited
RepresentativeFunderstone Futures Limited
RepresentativeFunderstone Securities Limited

Licence Record (5)

2022-08-26 – present Current
Funderstone Futures Limited Rep
RA 2
2022-08-26 – present Current
Funderstone Asset Management (HK) Limited RO
RA 9
2022-08-26 – present Current
Funderstone Futures Limited RO
RA 9
2022-08-26 – present Current
Funderstone Securities Limited RO
RA 9
2019-09-06 – present Current
Funderstone Securities Limited Rep
RA 1 RA 4 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/BOT897