Chua, Tsz Lan 蔡紫蘭
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 | Bright Fund Management Limited | Rep | Advising on securities | 2008-01-04 | 2008-12-03 | Rep | Asset management | 2008-01-04 | 2008-12-03 | Rep | Dealing in securities | 2008-01-04 | 2008-12-03 |
| 2 | Caitong International Asset Management Co., Limited | Rep | Advising on securities | 2014-12-15 | 2015-01-23 | Rep | Asset management | 2014-12-15 | 2015-01-23 | RO | Advising on securities | 2015-01-23 | 2016-03-11 | RO | Asset management | 2015-01-23 | 2016-03-11 |
| 3 | CAITONG INTERNATIONAL SECURITIES CO., LIMITED | Rep | Dealing in securities | 2014-12-12 | 2016-03-11 | RO | Advising on securities | 2015-06-02 | 2016-03-11 |
| 4 | CC VENTURE CAPITAL LIMITED | Rep | Advising on securities | 2022-11-08 | 2023-02-01 | Rep | Asset management | 2022-11-08 | 2023-02-01 |
| 5 | CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2008-01-04 | 2008-12-03 |
| 6 | China Galaxy International Asset Management (Hong Kong) Co., Limited | RO | Advising on securities | 2013-02-25 | 2014-08-07 | RO | Asset management | 2013-02-25 | 2014-08-07 |
| 7 | China Galaxy International Futures (Hong Kong) Co., Limited | Rep | Dealing in futures contracts | 2012-08-01 | 2014-08-07 |
| 8 | China Galaxy International Securities (Hong Kong) Co., Limited | Rep | Advising on securities | 2012-08-01 | 2014-08-07 | Rep | Dealing in securities | 2012-08-01 | 2014-08-07 |
| 9 | CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2010-08-20 | 2010-09-27 | Rep | Asset management | 2010-08-20 | 2010-09-27 | RO | Advising on securities | 2010-09-27 | 2012-04-01 | RO | Asset management | 2010-09-27 | 2012-04-01 |
| 10 | DELTA ASIA FINANCIAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2003-10-27 | 2005-05-31 |
| 11 | DELTA ASIA SECURITIES LIMITED | Rep | Advising on corporate finance | 2003-10-27 | 2005-01-14 | Rep | Dealing in securities | 2003-10-27 | 2005-05-31 |
| 12 | GLENWORTH CAPITAL LIMITED | Rep | Advising on securities | 2019-11-19 | 2020-01-23 | Rep | Asset management | 2019-11-19 | 2020-01-23 | RO | Advising on securities | 2020-01-23 | 2021-08-01 | RO | Asset management | 2020-01-23 | 2021-08-01 | RO | Advising on securities | 2023-02-27 | RO | Asset management | 2023-02-27 |
| 13 | Hao Tian Asset Management Limited | RO | Advising on securities | 2021-09-02 | 2022-02-09 | RO | Asset management | 2021-09-02 | 2022-02-09 |
| 14 | ICEA SECURITIES ASIA LIMITED | Rep | Advising on securities | 2005-12-29 | 2006-04-19 |
| 15 | MIB SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2005-08-04 | 2005-11-11 |
| 16 | Neutral Financial Holding Company Limited | Rep | Asset management | 2016-05-20 | 2018-04-11 | Rep | Advising on securities | 2016-05-20 | 2018-05-02 | Rep | Dealing in securities | 2016-05-20 | 2019-10-24 | RO | Asset management | 2018-04-11 | 2019-10-24 | RO | Advising on securities | 2018-05-02 | 2019-10-24 |
| 17 | Penjing Asset Management (HK) Limited | Rep | Advising on securities | 2009-03-05 | 2009-09-17 | Rep | Asset management | 2009-03-05 | 2009-09-17 |
| 18 | SBI China Capital Securities Limited | Rep | Advising on securities | 2006-05-09 | 2007-02-28 | RO | Advising on securities | 2007-02-28 | 2007-12-07 |
| 19 | SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2009-09-30 | 2009-12-15 | Rep | Asset management | 2009-09-30 | 2009-12-15 | RO | Advising on securities | 2009-12-15 | 2010-08-13 | RO | Asset management | 2009-12-15 | 2010-08-13 |
| 20 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2009-12-15 | 2010-08-13 |
| 21 | SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Dealing in futures contracts | 2009-12-15 | 2010-08-13 |
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