SFC Licences of LAU Hor Yan, Pauline 劉可恩
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 | RE | 1 | 11 October 2019 | |
| Merrill Lynch Far East Limited | RE | 2 | 06 September 2010 | 01 April 2014 |
| Merrill Lynch (Asia Pacific) Limited | RE | 4 | 08 April 2010 | 01 April 2014 |
| Merrill Lynch (Asia Pacific) Limited | RE | 1 | 01 November 2007 | 01 April 2014 |
| Merrill Lynch Futures (Hong Kong) Limited | RE | 2 | 01 November 2007 | 06 September 2010 |