Lau, Marcus Chi Chiu 劉志超
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 | DEUTSCHE SECURITIES ASIA LIMITED | Rep | Automated trading services | 2010-08-16 | 2012-09-05 | Rep | Dealing in futures contracts | 2010-08-16 | 2012-09-05 | Rep | Dealing in securities | 2010-08-16 | 2012-09-05 |
2 | INSTINET PACIFIC LIMITED | Rep | Advising on securities | 2020-05-27 | 2021-08-28 | Rep | Automated trading services | 2020-05-27 | 2021-08-28 | Rep | Dealing in securities | 2020-05-27 | 2021-08-28 |
3 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on securities | 2012-10-25 | 2016-10-04 | Rep | Dealing in securities | 2012-10-25 | 2016-10-04 | Rep | Advising on futures contracts | 2014-04-16 | 2019-09-20 | Rep | Dealing in futures contracts | 2014-04-16 | 2019-09-20 |
4 | Nomura Asia Investment (Hong Kong) Limited | Rep | Dealing in futures contracts | 2006-07-08 | 2010-02-19 |
5 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2006-07-08 | 2010-05-12 | Rep | Dealing in securities | 2006-07-08 | 2010-05-12 |
6 | NOMURA SECURITIES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2010-02-03 | 2010-05-12 |
7 | UBS SECURITIES ASIA LIMITED | Rep | Advising on futures contracts | 2005-02-04 | Rep | Advising on corporate finance | 2005-03-24 | Rep | Advising on securities | 2005-03-24 | Rep | Asset management | 2005-03-24 | Rep | Dealing in futures contracts | 2006-06-08 | Rep | Dealing in securities | 2006-06-08 |
8 | UBS SECURITIES HONG KONG LIMITED | Rep | Advising on corporate finance | 2005-03-24 | Rep | Advising on securities | 2005-03-24 | Rep | Asset management | 2005-03-24 | Rep | Dealing in securities | 2006-06-08 |
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