Joanne Chung-Yan Lau
劉仲茵
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Joanne Chung-Yan Lau (劉仲茵), a licensed Representative with CE reference BHF959. Currently licensed at 1 firm(s): Morgan Stanley Asia Limited. Active regulated activities: Type 1 - Dealing in securities. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2021-08-09 | present |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-10-11 | 2021-06-22 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2016-03-30 | 2021-06-22 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-03-30 | 2016-10-10 |