Lau, Patricia Yan Ki 劉恩琪
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 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in securities | 2009-06-10 | 2018-05-04 | Rep | Dealing in futures contracts | 2013-02-19 | 2018-05-04 | RO | Advising on securities | 2018-05-04 | 2021-03-29 | RO | Dealing in futures contracts | 2018-05-04 | 2021-03-29 | RO | Dealing in securities | 2018-05-04 | 2021-03-29 |
| 2 | UBS SECURITIES ASIA LIMITED | Rep | Advising on corporate finance | 2003-06-25 | Rep | Advising on securities | 2003-06-25 | Rep | Asset management | 2003-06-25 | Rep | Dealing in securities | 2003-06-25 | Rep | Dealing in securities | 2005-05-26 | 2009-04-15 |
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