Yat Ying Karen Lau
劉一瑩
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yat Ying Karen Lau (劉一瑩), a licensed Responsible Officer with CE reference ASS218. Currently licensed at 1 firm(s): YRD Asset Management Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 5.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| YRD Asset Management Limited | RO | Type 1 — Dealing in securities | 2017-10-23 | present |
| YRD Asset Management Limited | RO | Type 4 — Advising on securities | 2017-10-23 | present |
| YRD Asset Management Limited | RO | Type 9 — Asset management | 2017-10-23 | present |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-03-31 | 2010-07-23 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2009-03-31 | 2010-07-23 |