Yat Ying Karen Lau
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yat Ying Karen Lau (劉一瑩), a licensed Responsible Officer with CE reference ASS218. Currently licensed at 1 firm(s): YRD Asset Management Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 10.0 years of SFC licence history. Total licence records on file: 5.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| YRD Asset Management Limited | RO | Type 1 - Dealing in securities | 2017-10-23 | present |
| YRD Asset Management Limited | RO | Type 4 - Advising on securities | 2017-10-23 | present |
| YRD Asset Management Limited | RO | Type 9 - Asset management | 2017-10-23 | present |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2009-03-31 | 2010-07-23 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2009-03-31 | 2010-07-23 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Yat Ying Karen Lau 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.