Tin Yun Lau

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • MIRAE ASSET SECURITIES (UK) LTD.

    FRN 149240

    • SMF16 Compliance Oversight (since 8 Apr 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 May 2024)
    • [FCA CF] Material risk taker (since 4 Sep 2023)
    • [FCA CF] Significant management (since 4 Sep 2023)
  • GTX UK LLP

    FRN 531505

    • SMF16 Compliance Oversight (since 7 May 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 May 2024)
    • [FCA CF] Significant management (since 4 Sep 2023)
    • [FCA CF] Material risk taker (since 4 Sep 2023)
  • TP ICAP MTF LIMITED (no longer approved here)

    FRN 124341

    • [FCA CF] Material risk taker (31 Mar 2021 to 6 Sep 2022)
  • TP ICAP Markets Limited (no longer approved here)

    FRN 124520

    • [FCA CF] Material risk taker (31 Mar 2021 to 6 Sep 2022)
  • TP ICAP E&C Limited (no longer approved here)

    FRN 146880

    • [FCA CF] Material risk taker (31 Mar 2021 to 6 Sep 2022)
  • TP ICAP Broking Limited (no longer approved here)

    FRN 154234

    • [FCA CF] Material risk taker (31 Mar 2021 to 6 Sep 2022)
  • ICAP Global Derivatives Limited (no longer approved here)

    FRN 191757

    • [FCA CF] Material risk taker (31 Mar 2021 to 6 Sep 2022)
  • iSwap Euro Limited (no longer approved here)

    FRN 544874

    • [FCA CF] Material risk taker (31 Mar 2021 to 6 Sep 2022)
  • TP ICAP Global Markets Americas LLC (no longer approved here)

    FRN 549855

    • [FCA CF] Material risk taker (31 Mar 2021 to 6 Sep 2022)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.