Katherine Ka Yee Lau
劉家怡
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Katherine Ka Yee Lau (劉家怡), a licensed former licensee with CE reference AVD966. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2013-07-03 | 2014-04-02 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2013-07-03 | 2014-04-02 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2010-05-14 | 2013-04-11 |