Siu Ling Yau
邱少玲
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Ling Yau (邱少玲), a licensed former licensee with CE reference AEB576. This person has 11.0 years of SFC licence history. Total licence records on file: 15.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2011-12-12 | 2014-04-01 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2010-08-31 | 2014-04-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2004-12-03 | 2014-04-01 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2004-12-03 | 2010-08-31 |
| First Shanghai Securities Limited 第一上海證券有限公司 |
Rep | Type 1 - Dealing in securities | 2004-07-07 | 2004-12-02 |
| First Shanghai Futures Limited 第一上海期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2004-07-07 | 2004-12-02 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2004-01-29 | 2004-07-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2003-07-11 | 2004-07-06 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-07-04 |
| Jefferies Bache (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2003-07-04 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-07-04 |
| Jefferies Bache (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2003-07-04 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-07-04 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-07-04 |
| Jefferies Bache (Hong Kong) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2003-07-04 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Siu Ling 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.