Joseph Han Wai Lau
劉恆瑋
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Joseph Han Wai Lau (劉恆瑋), a licensed Responsible Officer with CE reference AGH168. Currently licensed at 1 firm(s): J.P. Morgan Broking (Hong Kong) Limited. Active regulated activities: Type 2 — Dealing in futures contracts; Type 5 — Advising on futures contracts. Total licence records on file: 19.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2019-01-28 | present |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2019-01-28 | present |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2015-11-18 | 2016-10-17 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2015-11-18 | 2019-01-28 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2015-11-18 | 2016-10-17 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2015-11-18 | 2019-01-28 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-11-19 | 2015-08-22 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-11-19 | 2015-08-22 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-11-19 | 2015-08-22 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | 2012-11-19 | 2013-11-01 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2010-02-03 | 2012-08-09 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2008-12-15 | 2012-08-09 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-12-15 | 2010-02-19 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-10-10 | 2012-08-09 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-10-10 | 2012-08-09 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2007-07-04 | 2008-09-29 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-07-04 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-07-04 | 2008-09-29 |
| Indus Capital Advisors (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2007-04-16 | 2007-06-15 |