Chris Cheuk Wah Lau
劉卓樺
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chris Cheuk Wah Lau (劉卓樺), CE reference AYO821. Currently licensed at 1 firm(s): Nuveen Hong Kong Limited. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nuveen Hong Kong Limited | RO | Type 1 — Dealing in securities | 2024-10-25 | present |
| Nuveen Hong Kong Limited | RO | Type 4 — Advising on securities | 2024-10-25 | present |
| Nuveen Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2023-12-22 | 2024-10-25 |
| Nuveen Hong Kong Limited | Rep | Type 4 — Advising on securities | 2023-12-22 | 2024-10-25 |
| UBS Securities Hong Kong Limited | RO | Type 6 — Advising on corporate finance | 2019-04-09 | 2020-04-10 |
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | 2016-12-19 | 2019-04-09 |
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | 2015-03-09 | 2016-12-18 |
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | 2012-06-07 | 2013-01-29 |