SFC Licences of YAU Lai Sum 邱麗心
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| UBS Securities Asia Limited | RE | 1 | 31 August 2009 | 03 May 2010 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 | RE | 1 | 24 September 2007 | 22 August 2009 |
| Merrill Lynch Futures (Hong Kong) Limited | RE | 2 | 11 August 2006 | 15 September 2007 |
| Merrill Lynch (Asia Pacific) Limited | RE | 1 | 11 August 2006 | 15 September 2007 |