Marcus Chi Chiu Lau
劉志超
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Marcus Chi Chiu Lau (劉志超), a licensed former licensee with CE reference AAC292. Total licence records on file: 24.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Instinet Pacific Limited 極訊亞太有限公司 |
Rep | Type 1 — Dealing in securities | 2020-05-27 | 2021-08-28 |
| Instinet Pacific Limited 極訊亞太有限公司 |
Rep | Type 4 — Advising on securities | 2020-05-27 | 2021-08-28 |
| Instinet Pacific Limited 極訊亞太有限公司 |
Rep | Type 7 — Providing automated trading services | 2020-05-27 | 2021-08-28 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2014-04-16 | 2019-09-20 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2014-04-16 | 2019-09-20 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2012-10-25 | 2016-10-04 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2012-10-25 | 2016-10-04 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-08-16 | 2012-09-05 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-08-16 | 2012-09-05 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2010-08-16 | 2012-09-05 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2010-02-03 | 2010-05-12 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-07-08 | 2010-05-12 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-07-08 | 2010-05-12 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2006-07-08 | 2010-02-19 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | present | 2006-06-08 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | present | 2006-06-08 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | present | 2006-06-08 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | present | 2005-03-24 |
| UBS Securities Hong Kong Limited | Rep | Type 4 — Advising on securities | present | 2005-03-24 |
| UBS Securities Asia Limited | Rep | Type 5 — Advising on futures contracts | present | 2005-02-04 |
| UBS Securities Asia Limited | Rep | Type 6 — Advising on corporate finance | present | 2005-03-24 |
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | present | 2005-03-24 |
| UBS Securities Asia Limited | Rep | Type 9 — Asset management | present | 2005-03-24 |
| UBS Securities Hong Kong Limited | Rep | Type 9 — Asset management | present | 2005-03-24 |