David Tat Wai Lau
劉達維
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Tat Wai Lau (劉達維), CE reference ADF528. Currently licensed at 1 firm(s): Morgan Stanley Asia Limited. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2018-05-18 | present |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2018-05-18 | present |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-09-16 | 2018-05-18 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-09-16 | 2018-05-18 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2009-06-18 | 2011-06-28 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2009-06-18 | 2011-06-28 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-04-07 | 2009-06-18 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-04-07 | 2009-06-18 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2008-05-29 | 2008-11-21 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RO | Type 1 — Dealing in securities | 2008-05-29 | 2008-11-21 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2008-05-29 | 2008-11-21 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 — Dealing in securities | 2005-04-13 | 2008-05-29 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2008-05-29 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-03-03 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2008-05-29 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2005-03-03 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2005-03-03 |