Lau, Vincent Chi Kin (SFC:AHA572) 劉子堅

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
CITIC Securities (Hong Kong) Limited	RO	Advising on securities	2025-01-08	-
	RO	Advising on corporate finance	2021-08-18	-
CLSA LIMITED	RO	Dealing in securities	2021-08-18	-
CITIC Securities (Hong Kong) Limited	Rep	Advising on securities	2021-08-10	2025-01-08
	Rep	Advising on corporate finance	2021-06-07	2021-08-18
CLSA LIMITED	Rep	Dealing in securities	2021-06-07	2021-08-18
BOCOM International (Asia) Limited	Rep	Dealing in securities	2018-08-02	2021-05-12
	RO	Advising on corporate finance	2018-07-30	2021-05-12
	Rep	Advising on corporate finance	2018-04-17	2018-07-30
China Sunrise Capital Limited	RO	Advising on corporate finance	2018-03-12	2018-04-08
	Rep	Advising on corporate finance	2018-01-16	2018-03-12
BOCI ASIA LIMITED	RO	Advising on corporate finance	2013-07-29	2017-09-19
	Rep	Advising on corporate finance	2013-06-17	2013-07-29
China Securities (International) Corporate Finance Company Limited	RO	Advising on corporate finance	2013-04-08	2013-06-16
CHINA EVERBRIGHT CAPITAL LIMITED	RO	Advising on corporate finance	2010-05-04	2013-01-31
	Rep	Advising on corporate finance	2009-09-25	2010-05-04
SINO-RICH SECURITIES &AMP; FUTURES LIMITED	Rep	Advising on corporate finance	2009-08-05	2009-08-31
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2007-04-12	2009-04-04
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Dealing in securities	2006-07-20	2007-04-03
	Rep	Advising on corporate finance	2006-06-15	2007-04-03
CORE PACIFIC-YAMAICHI CAPITAL LIMITED	Rep	Advising on corporate finance	2004-06-21	2006-03-16
KINGSWAY CAPITAL LIMITED	Rep	Advising on securities	2003-04-01	2004-01-05
	Rep	Asset management	2003-04-01	2004-01-05
	Rep	Advising on corporate finance	2003-04-01	2004-06-09

HKMA registrations

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

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