Raymond Wai Cheuk Lau
劉偉卓
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Raymond Wai Cheuk Lau (劉偉卓), a licensed Responsible Officer with CE reference AYQ814. Currently licensed at 1 firm(s): J.P. Morgan Securities (Far East) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 6 — Advising on corporate finance. Total licence records on file: 9.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Advising on corporate finance →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities (Far East) Limited | RO | Type 1 — Dealing in securities | 2018-07-09 | present |
| J.P. Morgan Securities (Far East) Limited | RO | Type 4 — Advising on securities | 2018-07-09 | present |
| J.P. Morgan Securities (Far East) Limited | RO | Type 6 — Advising on corporate finance | 2018-07-09 | present |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 — Dealing in securities | 2018-05-17 | 2018-07-09 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 — Advising on securities | 2018-05-17 | 2018-07-09 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 — Advising on corporate finance | 2018-05-17 | 2018-07-09 |
| UBS Securities Hong Kong Limited | RO | Type 6 — Advising on corporate finance | 2016-12-19 | 2018-02-03 |
| UBS Securities Hong Kong Limited | RO | Type 6 — Advising on corporate finance | 2013-11-25 | 2016-12-18 |
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | 2012-06-07 | 2013-11-25 |