Chris Cheuk Wah Lau
劉卓樺
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chris Cheuk Wah Lau (劉卓樺), a licensed Responsible Officer with CE reference AYO821. Currently licensed at 1 firm(s): Nuveen Hong Kong Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nuveen Hong Kong Limited | RO | Type 1 — Dealing in securities | 2024-10-25 | present |
| Nuveen Hong Kong Limited | RO | Type 4 — Advising on securities | 2024-10-25 | present |
| Nuveen Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2023-12-22 | 2024-10-25 |
| Nuveen Hong Kong Limited | Rep | Type 4 — Advising on securities | 2023-12-22 | 2024-10-25 |
| UBS Securities Hong Kong Limited | RO | Type 6 — Advising on corporate finance | 2019-04-09 | 2020-04-10 |
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | 2016-12-19 | 2019-04-09 |
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | 2015-03-09 | 2016-12-18 |
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | 2012-06-07 | 2013-01-29 |