Lau, Che Wah 劉志華
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 | BOCI SECURITIES LIMITED | Rep | Dealing in securities | 2007-10-05 | 2023-02-17 | Rep | Dealing in futures contracts | 2012-01-17 | 2023-02-17 | Rep | Dealing in securities | 2023-03-13 | 2023-05-25 |
| 2 | HSBC SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2005-09-27 | 2005-11-14 |
| 3 | HSBC SECURITIES BROKERS (ASIA) LIMITED | Rep | Dealing in securities | 2005-09-27 | 2007-09-29 |
| 4 | Instinet Alpha Trading Limited | RO | Advising on corporate finance | 2004-09-15 | RO | Asset management | 2004-09-15 | RO | Advising on securities | 2005-09-26 | RO | Automated trading services | 2005-09-26 | RO | Dealing in securities | 2005-09-26 |
| 5 | INSTINET PACIFIC LIMITED | RO | Advising on corporate finance | 2004-09-15 | RO | Asset management | 2004-09-15 | RO | Advising on securities | 2005-09-26 | RO | Automated trading services | 2005-09-26 | RO | Dealing in securities | 2005-09-26 |
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