Lai Sum Yau
邱麗心
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lai Sum Yau (邱麗心), a licensed former licensee with CE reference ANT846. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2009-08-31 | 2010-05-03 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 |
Rep | Type 1 — Dealing in securities | 2007-09-24 | 2009-08-22 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2006-08-11 | 2007-09-15 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2006-08-11 | 2007-09-15 |