Patricia Yan Ki Lau
劉恩琪
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Patricia Yan Ki Lau (劉恩琪), a licensed former licensee with CE reference AIH455. This person has 15.9 years of SFC licence history. Total licence records on file: 10.
Information
- LinkedIn:
- Email:
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2018-05-04 | 2021-03-29 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2018-05-04 | 2021-03-29 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 4 - Advising on securities | 2018-05-04 | 2021-03-29 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-02-19 | 2018-05-04 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-06-10 | 2018-05-04 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2005-05-26 | 2009-04-15 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-06-25 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2003-06-25 |
| UBS Securities Asia Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-06-25 |
| UBS Securities Asia Limited | Rep | Type 9 - Asset management | Pre-2003 | 2003-06-25 |