Chi Wah Alex Lau
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chi Wah Alex Lau (劉志華), a licensed Responsible Officer with CE reference ABT429. Currently licensed at 1 firm(s): Ballas Capital Limited. Active regulated activities: Type 1 - Dealing in securities; Type 6 - Advising on corporate finance. This person has 22.8 years of SFC licence history. Total licence records on file: 13.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Ballas Capital Limited 博思融資有限公司 |
RO | Type 1 - Dealing in securities | 2017-02-21 | present |
| Ballas Capital Limited 博思融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2017-02-21 | present |
| Crosby Securities Limited 高誠證券有限公司 |
RO | Type 6 - Advising on corporate finance | 2022-06-24 | 2025-12-03 |
| BOSC International Company Limited 上銀國際有限公司 |
RO | Type 4 - Advising on securities | 2016-09-22 | 2017-01-04 |
| BOSC International Company Limited 上銀國際有限公司 |
RO | Type 1 - Dealing in securities | 2015-01-09 | 2017-01-04 |
| BOSC International Company Limited 上銀國際有限公司 |
RO | Type 6 - Advising on corporate finance | 2015-01-09 | 2017-01-04 |
| Crosby Securities Limited 高誠證券有限公司 |
RO | Type 1 - Dealing in securities | 2013-09-18 | 2014-10-31 |
| Crosby Securities Limited 高誠證券有限公司 |
RO | Type 6 - Advising on corporate finance | 2013-09-18 | 2014-10-31 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
RO | Type 1 - Dealing in securities | 2004-03-01 | 2013-06-25 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
RO | Type 6 - Advising on corporate finance | 2004-03-01 | 2013-06-25 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 1 - Dealing in securities | Pre-2003 | 2004-02-16 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 4 - Advising on securities | Pre-2003 | 2004-02-16 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 6 - Advising on corporate finance | Pre-2003 | 2004-02-16 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Chi Wah Alex Lau during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.