Patricia Yan Ki Lau
劉恩琪
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Patricia Yan Ki Lau (劉恩琪), a licensed former licensee with CE reference AIH455. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2018-05-04 | 2021-03-29 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2018-05-04 | 2021-03-29 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 4 — Advising on securities | 2018-05-04 | 2021-03-29 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-02-19 | 2018-05-04 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-06-10 | 2018-05-04 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2005-05-26 | 2009-04-15 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | present | 2003-06-25 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | present | 2003-06-25 |
| UBS Securities Asia Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-06-25 |
| UBS Securities Asia Limited | Rep | Type 9 — Asset management | present | 2003-06-25 |