Kwan, Warren Lai On 關澧安
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 | BOCI ASIA LIMITED | RO | Dealing in securities | 2004-12-03 | 2006-04-13 |
2 | BOCI COMMODITIES & FUTURES LIMITED | Rep | Advising on futures contracts | 2003-06-10 | Rep | Asset management | 2003-06-10 | Rep | Dealing in futures contracts | 2003-07-22 | RO | Dealing in futures contracts | 2003-07-22 | 2006-04-13 |
3 | BOCI SECURITIES LIMITED | Rep | Advising on corporate finance | 2003-06-10 | Rep | Advising on securities | 2003-06-10 | Rep | Asset management | 2003-06-10 | Rep | Dealing in securities | 2004-12-03 | RO | Dealing in securities | 2004-12-03 | 2006-04-13 | RO | Dealing in futures contracts | 2005-10-06 | 2006-04-13 |
4 | dLab Asset Management Limited | RO | Asset management | 2017-07-11 | 2021-01-03 | RO | Advising on securities | 2019-02-13 | 2021-01-03 |
5 | KGI ASIA LIMITED | Rep | Advising on securities | 2023-05-19 | Rep | Dealing in securities | 2023-05-19 |
6 | KGI Asset Management Limited | RO | Asset management | 2016-05-06 | 2016-10-01 | Rep | Asset management | 2023-05-19 | 2024-03-25 | RO | Asset management | 2024-03-25 |
7 | LW Asset Management Advisors Limited | RO | Asset management | 2013-05-08 | 2015-10-20 |
8 | Sprout Asset Management (Asia) Limited | Rep | Asset management | 2017-01-20 | 2017-03-07 | RO | Asset management | 2017-03-07 | 2017-04-28 |
9 | Standard Advisory Asia Limited | RO | Advising on futures contracts | 2007-03-09 | 2007-04-16 | RO | Advising on securities | 2007-03-09 | 2007-04-16 | RO | Dealing in futures contracts | 2007-03-09 | 2007-04-16 | RO | Dealing in securities | 2007-03-09 | 2007-04-16 |
10 | ZEAL ASSET MANAGEMENT LIMITED | Rep | Asset management | 2021-03-19 | 2022-08-15 | Rep | Advising on securities | 2021-03-19 | 2023-03-17 | Rep | Dealing in securities | 2021-03-19 | 2023-03-17 | RO | Asset management | 2022-08-15 | 2023-03-17 |
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