SFC Licences of LAU Joseph Han Wai 劉恆瑋

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
J.P. Morgan Securities (Asia Pacific) Limited 4 01 November 2019
J.P. Morgan Securities (Asia Pacific) Limited 1 01 November 2019
J.P. Morgan Broking (Hong Kong) Limited RO 5 28 January 2019
J.P. Morgan Broking (Hong Kong) Limited RO 2 28 January 2019
J.P. Morgan Broking (Hong Kong) Limited RE 5 18 November 2015 28 January 2019
J.P. Morgan Broking (Hong Kong) Limited RE 2 18 November 2015 28 January 2019
J.P. Morgan Broking (Hong Kong) Limited RE 4 18 November 2015 17 October 2016
J.P. Morgan Broking (Hong Kong) Limited RE 1 18 November 2015 17 October 2016
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RE 1 19 November 2012 22 August 2015
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 2 19 November 2012 22 August 2015
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 1 19 November 2012 22 August 2015
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 7 19 November 2012 01 November 2013
Nomura Securities (Hong Kong) Limited RE 2 03 February 2010 09 August 2012
Nomura Securities (Hong Kong) Limited RE 1 15 December 2008 09 August 2012
Nomura Futures (Hong Kong) Limited RE 2 15 December 2008 19 February 2010
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 RE 2 10 October 2008 09 August 2012
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 RE 1 10 October 2008 09 August 2012
Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 RE 2 04 July 2007 29 September 2008
Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 RE 1 04 July 2007 29 September 2008
Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 RE 1 04 July 2007 29 September 2008
Indus Capital Advisors (Hong Kong) Limited RE 4 16 April 2007 15 June 2007