Alexander Yen Hou Lau
劉恩浩
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alexander Yen Hou Lau (劉恩浩), a licensed former licensee with CE reference AFM190. This person has 11.7 years of SFC licence history. Total licence records on file: 8.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2011-09-06 | 2015-07-14 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2011-09-06 | 2015-07-14 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2008-10-10 | 2011-04-16 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 - Dealing in securities | 2006-08-04 | 2008-09-29 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2006-06-05 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-04-17 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-01-08 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-01-08 |