SFC Licences of LAU Chris Cheuk Wah 劉卓樺
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Nuveen Hong Kong Limited | RE | 4 | 22 December 2023 | |
| Nuveen Hong Kong Limited | RE | 1 | 22 December 2023 | |
| UBS Securities Hong Kong Limited | RO | 6 | 09 April 2019 | 10 April 2020 |
| UBS Securities Hong Kong Limited | RE | 6 | 19 December 2016 | 09 April 2019 |
| UBS Securities Hong Kong Limited | RE | 6 | 09 March 2015 | 18 December 2016 |
| UBS Securities Hong Kong Limited | RE | 6 | 07 June 2012 | 29 January 2013 |