Joseph Han Wai Lau
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Joseph Han Wai Lau (劉恆瑋), a licensed Responsible Officer with CE reference AGH168. Currently licensed at 1 firm(s): J.P. Morgan Broking (Hong Kong) Limited. Active regulated activities: Type 2 - Dealing in futures contracts; Type 5 - Advising on futures contracts. This person has 18.7 years of SFC licence history. Total licence records on file: 19.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 2 - Dealing in futures contracts | 2019-01-28 | present |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 5 - Advising on futures contracts | 2019-01-28 | present |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2015-11-18 | 2016-10-17 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2015-11-18 | 2019-01-28 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2015-11-18 | 2016-10-17 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2015-11-18 | 2019-01-28 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-11-19 | 2015-08-22 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-11-19 | 2015-08-22 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-11-19 | 2015-08-22 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 7 - Providing automated trading services | 2012-11-19 | 2013-11-01 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2010-02-03 | 2012-08-09 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2008-12-15 | 2012-08-09 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2008-12-15 | 2010-02-19 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2008-10-10 | 2012-08-09 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-10-10 | 2012-08-09 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 - Dealing in securities | 2007-07-04 | 2008-09-29 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2007-07-04 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-07-04 | 2008-09-29 |
| Indus Capital Advisors (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2007-04-16 | 2007-06-15 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Joseph Han Wai 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.