Lui, Jervis Chun Wai 呂俊為

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2024-09-06	2026-03-17
	Rep	Dealing in securities	2024-09-06	2026-03-17
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2024-09-06	2026-03-17
	Rep	Dealing in securities	2024-09-06	2026-03-17
Credit Suisse Securities (Hong Kong) Limited	RO	Dealing in securities	2023-11-13	2026-03-17
Credit Suisse (Hong Kong) Limited	RO	Dealing in futures contracts	2020-02-26	2026-03-17
	Rep	Dealing in futures contracts	2019-10-03	2020-02-26
	RO	Dealing in futures contracts	2016-09-02	2017-07-03
	RO	Dealing in securities	2016-09-02	2026-03-17
	Rep	Dealing in futures contracts	2016-04-22	2016-09-02
	Rep	Dealing in securities	2016-04-22	2016-09-02
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2004-06-24	2013-05-08
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2004-06-24	2013-05-08
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2004-03-30	2004-06-24
DEUTSCHE FUTURES HONG KONG LIMITED	Rep	Dealing in futures contracts	2003-11-14	2004-06-24
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in securities	2003-11-14	2004-06-24
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	-	2003-10-09
	Rep	Advising on securities	-	2003-10-09
	Rep	Asset management	-	2003-10-09
	Rep	Dealing in securities	-	2003-10-09
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Advising on corporate finance	-	2003-10-09
	Rep	Advising on securities	-	2003-10-09
	Rep	Asset management	-	2003-10-09
	Rep	Dealing in securities	-	2003-10-09
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Advising on futures contracts	-	2003-10-09
	Rep	Asset management	-	2003-10-09
	Rep	Dealing in futures contracts	-	2003-10-09

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2024-09-06	2026-03-17
	Rep	Dealing in securities	2024-09-06	2026-03-17
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2024-09-06	2026-03-17
	Rep	Dealing in securities	2024-09-06	2026-03-17
Credit Suisse Securities (Hong Kong) Limited	RO	Dealing in securities	2023-11-13	2026-03-17
Credit Suisse (Hong Kong) Limited	RO	Dealing in futures contracts	2020-02-26	2026-03-17
	Rep	Dealing in futures contracts	2019-10-03	2020-02-26
	RO	Dealing in futures contracts	2016-09-02	2017-07-03
	RO	Dealing in securities	2016-09-02	2026-03-17
	Rep	Dealing in futures contracts	2016-04-22	2016-09-02
	Rep	Dealing in securities	2016-04-22	2016-09-02
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2004-06-24	2013-05-08
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2004-06-24	2013-05-08
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2004-03-30	2004-06-24
DEUTSCHE FUTURES HONG KONG LIMITED	Rep	Dealing in futures contracts	2003-11-14	2004-06-24
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in securities	2003-11-14	2004-06-24
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	-	2003-10-09
	Rep	Advising on securities	-	2003-10-09
	Rep	Asset management	-	2003-10-09
	Rep	Dealing in securities	-	2003-10-09
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Advising on corporate finance	-	2003-10-09
	Rep	Advising on securities	-	2003-10-09
	Rep	Asset management	-	2003-10-09
	Rep	Dealing in securities	-	2003-10-09
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Advising on futures contracts	-	2003-10-09
	Rep	Asset management	-	2003-10-09
	Rep	Dealing in futures contracts	-	2003-10-09