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LAU Ho Yuen

劉浩遠
JB8129Inactive / lapsedTechnical representative (broker)Long Term (incl. investment-linked)
Licence no
JB8129
Type
Technical representative (broker)
Status
Inactive / lapsed
Line of business
Long Term (incl. investment-linked)
Valid from
2020-09-04
Valid to
2022-10-27

Contact & address

Address (EN)
23/F, Hopewell Centre, 183 Queen's Road East, Wan Chai, Hong Kong
Address (中)
23/F, Hopewell Centre, 183 Queen's Road East, Wan Chai, Hong Kong

Location

Approximate — geocoded from the registered address. Open in Google Maps →

Appointments & work history 1 · 0 active

PrincipalAppointing firmLine of businessStatusAppointedCeased
FB1360Convoy Financial Services Ltd.
康宏理財服務有限公司		Long Term Business (including Linked Long Term Business)Ended2020-09-042022-04-30

Disciplinary / public actions 1

actionDate
1669651200000
actionTaken
397
actionTakenEN
1. Pecuniary penalty of HK$4,800 2. Prohibition from applying to be licensed until the shortfall in CPD hours for the combined CPD assessment periods of 2019-2021 have been rectified and the pecuniary penalty has been paid [Non-compliance of the CPD requirements for the combined CPD assessment periods of 2019-2021]
actionTakenTC
1. 罰款港幣$4,800 2. 禁止申請牌照，直至完成在2019-2021評估年度持續專業培訓計劃內尚欠的持續專業培訓時數及繳付罰款為止 [未能符合2019-2021評估年度持續專業培訓計劃要求]
actionTakenSC
1. 罚款港币$4,800 2. 禁止申请牌照，直至完成在2019-2021评估年度持续专业培训计划内尚欠的持续专业培训时数及缴付罚款为止 [未能符合2019-2021评估年度持续专业培训计划要求]
pressReleaseEN
Nil
pressReleaseTC
沒有
pressReleaseSC
没有
pressReleases
[]