Tracy Ho Yee Lau
劉可兒
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tracy Ho Yee Lau (劉可兒), a licensed Responsible Officer with CE reference AOQ704. Currently licensed at 1 firm(s): Carlyle Hong Kong Equity Management Limited. Active regulated activities: Type 1 — Dealing in securities. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Carlyle Hong Kong Equity Management Limited 凱雷香港股權管理有限公司 |
RO | Type 1 — Dealing in securities | 2021-08-20 | present |
| Carlyle Hong Kong Equity Management Limited 凱雷香港股權管理有限公司 |
Rep | Type 1 — Dealing in securities | 2021-02-03 | 2021-08-20 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2018-02-22 | 2021-01-22 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
RO | Type 4 — Advising on securities | 2018-02-22 | 2021-01-22 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-08-29 | 2018-02-22 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2017-08-29 | 2018-02-22 |
| Barings Investment Advisers (Hong Kong) Limited |
RO | Type 1 — Dealing in securities | 2013-01-07 | 2018-01-23 |
| Barings Investment Advisers (Hong Kong) Limited |
RO | Type 4 — Advising on securities | 2013-01-07 | 2018-01-23 |
| Barings Investment Advisers (Hong Kong) Limited |
Rep | Type 1 — Dealing in securities | 2011-04-14 | 2013-01-07 |
| Barings Investment Advisers (Hong Kong) Limited |
Rep | Type 4 — Advising on securities | 2011-04-14 | 2013-01-07 |
| Barings Investment Advisers (Hong Kong) Limited |
Rep | Type 9 — Asset management | 2011-04-14 | 2013-02-08 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-03-05 | 2011-04-01 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2007-03-05 | 2011-04-01 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
Rep | Type 9 — Asset management | 2007-03-05 | 2011-04-01 |