Lau, Yik Ting 劉奕霆 SFC Licences and HKMA Registrations (ID 2132202)

Key Data Licences & registrations Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
CMB INTERNATIONAL FUTURES LIMITED	RO	Dealing in futures contracts	2026-06-03	-
CMB International Securities Limited	RO	Advising on securities	2026-06-03	-
	RO	Dealing in securities	2026-06-03	-
CMB INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2025-12-09	2026-06-03
CMB International Securities Limited	Rep	Advising on securities	2025-12-09	2026-06-03
	Rep	Dealing in securities	2025-12-09	2026-06-03
Hash Blockchain Limited	Rep	Providing automated trading services	2024-10-10	2025-11-07
	Rep	Dealing in securities	2024-10-10	2025-11-07
HBS (Hong Kong) Limited	RO	Advising on securities	2024-09-25	2025-11-07
	RO	Dealing in securities	2024-09-25	2025-11-07
	Rep	Advising on securities	2024-08-09	2024-09-25
	Rep	Dealing in securities	2024-08-09	2024-09-25
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	RO	Dealing in futures contracts	2023-09-12	2024-07-15
	RO	Providing automated trading services	2023-07-10	2024-07-15
	RO	Advising on securities	2023-04-18	2024-07-15
	RO	Dealing in securities	2020-10-15	2024-07-15
	Rep	Dealing in futures contracts	2020-07-16	2023-09-12
	Rep	Dealing in securities	2020-07-13	2020-10-15
	Rep	Advising on securities	2020-07-13	2023-04-18
Pearl Bridge Securities Limited	RO	Advising on securities	2020-06-15	2020-06-26
	RO	Dealing in securities	2020-06-15	2020-06-26
	Rep	Advising on securities	2020-05-21	2020-06-15
	Rep	Dealing in securities	2020-05-21	2020-06-15
Finex Hong Kong Limited	RO	Advising on securities	2018-11-16	2019-10-12
	RO	Dealing in securities	2018-11-16	2019-10-12
	Rep	Advising on securities	2018-10-15	2018-11-16
	Rep	Dealing in securities	2018-10-15	2018-11-16
Open Securities Limited	Rep	Advising on securities	2018-07-04	2018-10-05
OPEN ASSET MANAGEMENT LIMITED	Rep	Asset management	2017-07-10	2018-10-05
Open Securities Limited	Rep	Dealing in futures contracts	2017-05-22	2018-10-05
	Rep	Dealing in securities	2017-05-22	2018-10-05
CSC FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2016-07-14	2017-05-08
CSC SECURITIES (HK) LIMITED	Rep	Dealing in securities	2016-04-27	2017-05-08
GF Securities (Hong Kong) Brokerage Limited	Rep	Dealing in securities	2014-02-18	2016-04-11
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2013-09-16	2014-01-25

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.