Shari Siu Yeung Yau
尤小陽
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shari Siu Yeung Yau (尤小陽), a licensed former licensee with CE reference AWP697. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2017-09-25 | 2018-02-23 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-04-02 | 2013-09-23 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2011-01-11 | 2013-09-23 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2011-01-11 | 2013-03-06 |