David Tat Wai Lau
劉達維
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Tat Wai Lau (劉達維), a licensed former licensee with CE reference ADF528. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2018-05-18 | 2026-03-31 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2018-05-18 | 2026-03-31 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-09-16 | 2018-05-18 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-09-16 | 2018-05-18 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2009-06-18 | 2011-06-28 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2009-06-18 | 2011-06-28 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-04-07 | 2009-06-18 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-04-07 | 2009-06-18 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2008-05-29 | 2008-11-21 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RO | Type 1 — Dealing in securities | 2008-05-29 | 2008-11-21 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2008-05-29 | 2008-11-21 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 — Dealing in securities | 2005-04-13 | 2008-05-29 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2008-05-29 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-03-03 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2008-05-29 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2005-03-03 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2005-03-03 |