Lau, Dorothy Kwok Cheung 劉幗璋
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 | Chocolate Asset Management Limited | RO | Asset management | 2017-09-04 | |
| 2 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Advising on corporate finance | 2004-09-25 | Rep | Advising on securities | 2004-09-25 | Rep | Asset management | 2004-09-25 | Rep | Dealing in securities | 2004-09-25 |
| 3 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Advising on futures contracts | 2004-09-25 | Rep | Asset management | 2004-09-25 | Rep | Dealing in futures contracts | 2004-09-25 |
| 4 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2008-04-15 | 2009-05-01 | Rep | Dealing in securities | 2010-08-24 | 2015-06-16 |
| 5 | Merrill Lynch Far East Limited | Rep | Dealing in futures contracts | 2010-10-05 | 2015-06-16 |
| 6 | MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-04-15 | 2009-05-01 | Rep | Dealing in futures contracts | 2010-08-24 | 2010-12-16 |
| 7 | Minerva Capital Management Limited | RO | Asset management | 2009-06-19 | 2010-02-24 |
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