Tong, Ka Lai 唐嘉麗
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 | AMPLE CAPITAL LIMITED | Rep | Advising on securities | 2008-10-02 | 2009-02-18 | iFAST Financial (HK) Limited | Rep | 2013-07-24 | 2013-08-16 | iFAST Global Markets (HK) Limited | Rep | 2013-07-24 | 2013-09-24 | GUOTAI JUNAN ASSETS (ASIA) LIMITED | Rep | 2014-08-29 | 2016-06-12 | Principal Investment & Retirement Services Limited | Rep | 2016-07-18 | 2018-10-31 | Neuberger Berman Asia Limited | Rep | 2019-02-22 |
| 2 | AMPLE CAPITAL LIMITED | Rep | Asset management | 2008-10-02 | 2009-02-18 | GUOTAI JUNAN ASSETS (ASIA) LIMITED | Rep | 2016-02-12 | 2016-06-12 |
| 3 | GUOTAI JUNAN ASSETS (ASIA) LIMITED | Rep | Dealing in securities | 2014-08-29 | 2016-06-12 | Principal Investment & Retirement Services Limited | Rep | 2016-07-18 | 2018-10-31 | Neuberger Berman Asia Limited | Rep | 2019-02-22 |
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