Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, CHRIS CHEUK WAH
Chinese Name of Relevant Individual
劉卓樺
HKMA Registration Number
AF1325
Current Registration
Not Applicable
Business Address
Not Applicable
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Mar 2015 - 09 Apr 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
06 Mar 2015 - 09 Apr 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
06 Mar 2015 - 09 Apr 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
25 May 2011 - 28 Jan 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
25 May 2011 - 28 Jan 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
25 May 2011 - 28 Jan 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
LAU, CHRIS CHEUK WAH
:
Chinese Name of Relevant Individual
劉卓樺
:
HKMA Registration Number
AF1325
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF1325
UBS AG
Type 1: dealing in securities
06 Mar 2015 - 09 Apr 2020
No
AF1325
UBS AG
Type 4: advising on securities
06 Mar 2015 - 09 Apr 2020
No
AF1325
UBS AG
Type 6: advising on corporate finance
06 Mar 2015 - 09 Apr 2020
No
AF1325
UBS AG
Type 1: dealing in securities
25 May 2011 - 28 Jan 2013
No
AF1325
UBS AG
Type 4: advising on securities
25 May 2011 - 28 Jan 2013
No
AF1325
UBS AG
Type 6: advising on corporate finance
25 May 2011 - 28 Jan 2013
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.