Lau, Shirley Suet Sum 劉雪心
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CLSA FUTURES LIMITED | Rep | Advising on futures contracts | 2004-03-16 | Rep | Asset management | 2004-03-16 | Rep | Dealing in futures contracts | 2004-06-17 |
| 2 | CLSA LIMITED | Rep | Advising on corporate finance | 2004-03-16 | Rep | Advising on securities | 2004-03-16 | Rep | Asset management | 2004-03-16 | Rep | Dealing in securities | 2004-06-17 |
| 3 | NATIXIS ASIA LIMITED | Rep | Advising on securities | 2005-06-08 | 2008-12-12 | Rep | Dealing in securities | 2005-06-08 | 2008-12-12 |
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