Wai Man Lau
劉威文
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Man Lau (劉威文), a licensed Responsible Officer with CE reference ALW732. Currently licensed at 1 firm(s): Marex Financial Services Hong Kong Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Marex Financial Services Hong Kong Limited | RO | Type 2 — Dealing in futures contracts | 2024-10-07 | present |
| Marex Financial Services Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2024-08-20 | present |
| Marex Financial Services Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2024-08-20 | 2024-10-07 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2015-01-27 | 2024-06-04 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
RO | Type 5 — Advising on futures contracts | 2015-01-27 | 2024-06-04 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-08-27 | 2015-01-27 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | 2014-08-27 | 2015-01-27 |
| BOCI Asset Management Limited 中銀國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2008-11-07 | 2012-05-04 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2007-05-10 | 2012-05-04 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-05-10 | 2012-05-04 |
| Ge Shang Investment (Hong Kong) Limited 格上投資(香港)股份有限公司 |
Rep | Type 4 — Advising on securities | 2005-06-20 | 2007-03-16 |
| Ge Shang Investment (Hong Kong) Limited 格上投資(香港)股份有限公司 |
Rep | Type 9 — Asset management | 2005-06-20 | 2007-03-16 |