Yau, Siu Ling 邱少玲
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 | FIRST SHANGHAI FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-07-07 | 2004-12-02 |
| 2 | FIRST SHANGHAI SECURITIES LIMITED | Rep | Dealing in securities | 2004-07-07 | 2004-12-02 |
| 3 | FT Securities Limited | Rep | Advising on corporate finance | 2003-07-04 | Rep | Advising on securities | 2003-07-04 | Rep | Asset management | 2003-07-04 | Rep | Dealing in securities | 2003-07-04 |
| 4 | JEFFERIES BACHE (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2003-07-04 | Rep | Asset management | 2003-07-04 | Rep | Dealing in futures contracts | 2003-07-04 |
| 5 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2003-07-11 | 2004-07-06 | Rep | Dealing in securities | 2004-12-03 | 2014-04-01 | Rep | Advising on securities | 2011-12-12 | 2014-04-01 |
| 6 | Merrill Lynch Far East Limited | Rep | Dealing in futures contracts | 2010-08-31 | 2014-04-01 |
| 7 | MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2004-01-29 | 2004-07-06 | Rep | Dealing in futures contracts | 2004-12-03 | 2010-08-31 |
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