Lau, Tracy Ho Yee 劉可兒
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | BARING ASSET MANAGEMENT (ASIA) LIMITED | Rep | Advising on securities | 2017-08-29 | 2018-02-22 | Rep | Dealing in securities | 2017-08-29 | 2018-02-22 | RO | Advising on securities | 2018-02-22 | 2021-01-22 | RO | Dealing in securities | 2018-02-22 | 2021-01-22 |
| 2 | Barings Investment Advisers (Hong Kong) Limited | Rep | Advising on securities | 2011-04-14 | 2013-01-07 | Rep | Dealing in securities | 2011-04-14 | 2013-01-07 | Rep | Asset management | 2011-04-14 | 2013-02-08 | RO | Advising on securities | 2013-01-07 | 2018-01-23 | RO | Dealing in securities | 2013-01-07 | 2018-01-23 |
| 3 | BlackRock (Hong Kong) Limited (d2017-01-20) | Rep | Advising on securities | 2007-03-05 | 2011-04-01 | Rep | Asset management | 2007-03-05 | 2011-04-01 | Rep | Dealing in securities | 2007-03-05 | 2011-04-01 |
| 4 | CARLYLE HONG KONG EQUITY MANAGEMENT LIMITED | Rep | Dealing in securities | 2021-02-03 | 2021-08-20 | RO | Dealing in securities | 2021-08-20 |
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