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LAU Hor Yan, Pauline

劉可恩
CE APW586Licensed IndividualSFO licence active
Official SFC record

LAU Hor Yan, Pauline (CE number APW586) is an individual licensed by the Hong Kong SFC. First licensed on 2007-11-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management).

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeSusquehanna Hong Kong Limited

Licence Record (5)

2026-01-15 – present Current
Susquehanna Hong Kong Limited Rep
RA 1 RA 9
2019-10-11 – 2025-11-28
Daiwa Capital Markets Hong Kong Limited Rep
RA 1
2010-09-06 – 2014-04-01
Merrill Lynch Far East Limited Rep
RA 2
2007-11-01 – 2014-04-01
Merrill Lynch (Asia Pacific) Limited Rep
RA 1 RA 4
2007-11-01 – 2010-09-06
Merrill Lynch Futures (Hong Kong) Limited Rep
RA 2

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/APW586