Lau, Joseph Han Wai 劉恆瑋
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 | Credit Suisse (Hong Kong) Limited | Rep | Automated trading services | 2012-11-19 | 2013-11-01 | Rep | Dealing in futures contracts | 2012-11-19 | 2015-08-22 | Rep | Dealing in securities | 2012-11-19 | 2015-08-22 |
| 2 | Credit Suisse Securities (Hong Kong) Limited | Rep | Dealing in securities | 2012-11-19 | 2015-08-22 |
| 3 | INDUS CAPITAL ADVISORS (HONG KONG) LIMITED | Rep | Advising on securities | 2007-04-16 | 2007-06-15 |
| 4 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on securities | 2015-11-18 | 2016-10-17 | Rep | Dealing in securities | 2015-11-18 | 2016-10-17 | Rep | Advising on futures contracts | 2015-11-18 | 2019-01-28 | Rep | Dealing in futures contracts | 2015-11-18 | 2019-01-28 | RO | Advising on futures contracts | 2019-01-28 | RO | Dealing in futures contracts | 2019-01-28 |
| 5 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in futures contracts | 2007-07-04 | 2008-09-29 | Rep | Dealing in securities | 2007-07-04 | 2008-09-29 |
| 6 | LEHMAN BROTHERS SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2007-07-04 | 2008-09-29 |
| 7 | Nomura Asia Investment (Hong Kong) Limited | Rep | Dealing in futures contracts | 2008-12-15 | 2010-02-19 |
| 8 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-10-10 | 2012-08-09 | Rep | Dealing in securities | 2008-10-10 | 2012-08-09 |
| 9 | NOMURA SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2008-12-15 | 2012-08-09 | Rep | Dealing in futures contracts | 2010-02-03 | 2012-08-09 |
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