David Kwok Hei Lau
劉國熙
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Kwok Hei Lau (劉國熙), a licensed former licensee with CE reference AVN397. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Wells Fargo Securities Asia Limited | RO | Type 1 — Dealing in securities | 2021-02-17 | 2022-05-12 |
| Wells Fargo Securities Asia Limited | RO | Type 4 — Advising on securities | 2021-02-17 | 2022-05-12 |
| Wells Fargo Securities Asia Limited | RO | Type 6 — Advising on corporate finance | 2021-02-17 | 2022-05-12 |
| Wells Fargo Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2013-10-22 | 2021-02-17 |
| Wells Fargo Securities Asia Limited | Rep | Type 4 — Advising on securities | 2013-10-22 | 2021-02-17 |
| Wells Fargo Securities Asia Limited | Rep | Type 6 — Advising on corporate finance | 2013-10-22 | 2021-02-17 |
| Isola Capital Asset Management Limited 道源資產管理有限公司 |
Rep | Type 9 — Asset management | 2013-08-08 | 2013-08-28 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2010-08-02 | 2012-05-24 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2010-08-02 | 2012-05-24 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2010-08-02 | 2012-05-24 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | 2010-08-02 | 2012-05-24 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | 2010-08-02 | 2012-05-24 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | 2010-08-02 | 2012-05-24 |