Joanne Yan-Wah Lau
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Joanne Yan-Wah Lau (劉恩華), a licensed Representative with CE reference AZI786. Currently licensed at 2 firm(s): CITIC Securities Asset Management (HK) Limited, CITIC Securities International Global Markets Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities. This person has 13.8 years of SFC licence history. Total licence records on file: 16.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2025-09-11 | present |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2023-12-08 | present |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2022-05-10 | present |
| CITIC Securities International Global Markets Limited 中信證券國際全球市場有限公司 |
Rep | Type 1 - Dealing in securities | 2022-02-21 | present |
| CITIC Securities International Global Markets Limited 中信證券國際全球市場有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2022-02-21 | present |
| Liquidnet Asia Limited 利貫交易網亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | 2021-12-15 | 2022-02-01 |
| Liquidnet Asia Limited 利貫交易網亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2021-11-25 | 2022-02-01 |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 1 - Dealing in securities | 2015-12-01 | 2021-07-19 |
| Value Partners Hong Kong Limited 惠理基金管理香港有限公司 |
Rep | Type 1 - Dealing in securities | 2013-05-22 | 2015-11-25 |
| Value Partners Limited 惠理基金管理公司 |
Rep | Type 1 - Dealing in securities | 2013-05-22 | 2015-11-25 |
| Value Partners Hong Kong Limited 惠理基金管理香港有限公司 |
Rep | Type 4 - Advising on securities | 2013-05-22 | 2015-11-25 |
| Value Partners Limited 惠理基金管理公司 |
Rep | Type 4 - Advising on securities | 2013-05-22 | 2015-11-25 |
| Value Partners Hong Kong Limited 惠理基金管理香港有限公司 |
Rep | Type 9 - Asset management | 2013-05-22 | 2015-11-25 |
| Value Partners Limited 惠理基金管理公司 |
Rep | Type 9 - Asset management | 2013-05-22 | 2015-11-25 |
| CSOP Asset Management Limited 南方東英資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2012-04-25 | 2013-04-30 |
| CSOP Asset Management Limited 南方東英資產管理有限公司 |
Rep | Type 9 - Asset management | 2012-04-25 | 2013-04-30 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Joanne Yan-Wah 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.