Lau, David Tat Wai 劉達維
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 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Advising on corporate finance | 2009-04-07 | 2009-06-18 | Rep | Dealing in securities | 2009-04-07 | 2009-06-18 | RO | Advising on corporate finance | 2009-06-18 | 2011-06-28 | RO | Dealing in securities | 2009-06-18 | 2011-06-28 |
| 2 | Citigroup Global Markets Asia Limited | Rep | Advising on securities | 2005-03-03 | Rep | Asset management | 2005-03-03 | Rep | Automated trading services | 2005-03-03 | Rep | Advising on corporate finance | 2008-05-29 | Rep | Dealing in securities | 2008-05-29 | RO | Advising on corporate finance | 2008-05-29 | 2008-11-21 | RO | Dealing in securities | 2008-05-29 | 2008-11-21 |
| 3 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in securities | 2005-04-13 | 2008-05-29 | RO | Dealing in securities | 2008-05-29 | 2008-11-21 |
| 4 | Morgan Stanley Asia Limited | Rep | Advising on corporate finance | 2011-09-16 | 2018-05-18 | Rep | Dealing in securities | 2011-09-16 | 2018-05-18 | RO | Advising on corporate finance | 2018-05-18 | RO | Dealing in securities | 2018-05-18 |
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