Chi Wah Alex Lau
劉志華
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chi Wah Alex Lau (劉志華), a licensed Responsible Officer with CE reference ABT429. Currently licensed at 1 firm(s): Ballas Capital Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Ballas Capital Limited 博思融資有限公司 |
RO | Type 1 — Dealing in securities | 2017-02-21 | present |
| Ballas Capital Limited 博思融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2017-02-21 | present |
| Crosby Securities Limited 高誠證券有限公司 |
RO | Type 6 — Advising on corporate finance | 2022-06-24 | 2025-12-03 |
| BOSC International Company Limited 上銀國際有限公司 |
RO | Type 4 — Advising on securities | 2016-09-22 | 2017-01-04 |
| BOSC International Company Limited 上銀國際有限公司 |
RO | Type 1 — Dealing in securities | 2015-01-09 | 2017-01-04 |
| BOSC International Company Limited 上銀國際有限公司 |
RO | Type 6 — Advising on corporate finance | 2015-01-09 | 2017-01-04 |
| Crosby Securities Limited 高誠證券有限公司 |
RO | Type 1 — Dealing in securities | 2013-09-18 | 2014-10-31 |
| Crosby Securities Limited 高誠證券有限公司 |
RO | Type 6 — Advising on corporate finance | 2013-09-18 | 2014-10-31 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
RO | Type 1 — Dealing in securities | 2004-03-01 | 2013-06-25 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
RO | Type 6 — Advising on corporate finance | 2004-03-01 | 2013-06-25 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 1 — Dealing in securities | present | 2004-02-16 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 4 — Advising on securities | present | 2004-02-16 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2004-02-16 |