Lai Sum Yau
邱麗心
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lai Sum Yau (邱麗心), a licensed former licensee with CE reference ANT846. This person has 3.7 years of SFC licence history. Total licence records on file: 4.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2009-08-31 | 2010-05-03 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 |
Rep | Type 1 - Dealing in securities | 2007-09-24 | 2009-08-22 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2006-08-11 | 2007-09-15 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2006-08-11 | 2007-09-15 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Lai Sum Yau 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.