Chan, Lai Sze (SFC:ACO201) 陳麗絲
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 | BOCOM Schroder Asset Management (Hong Kong) Company Limited | Rep | Advising on securities | 2014-09-01 | 2016-08-01 | Rep | Asset management | 2014-09-01 | 2016-08-01 | Rep | Dealing in securities | 2014-09-01 | 2016-08-01 |
2 | Legg Mason Asset Management Hong Kong Limited | Rep | Advising on corporate finance | 2004-10-29 | Rep | Asset management | 2004-12-15 | Rep | Advising on futures contracts | 2005-07-28 | Rep | Advising on securities | 2006-04-06 | RO | Asset management | 2004-12-15 | 2013-03-31 | RO | Advising on futures contracts | 2005-07-28 | 2006-05-26 | Rep | Dealing in securities | 2005-12-02 | 2006-04-06 | RO | Advising on securities | 2006-04-06 | 2013-03-31 | RO | Dealing in securities | 2006-04-06 | 2013-03-31 | RO | Asset management | 2013-09-17 | 2014-07-31 |
3 | Legg Mason International Equities (Hong Kong) Limited | Rep | Advising on corporate finance | 2004-10-29 | Rep | Asset management | 2004-12-15 | Rep | Advising on futures contracts | 2005-07-28 | Rep | Advising on securities | 2006-04-06 | Rep | Dealing in securities | 2006-04-06 | RO | Asset management | 2004-12-15 | 2013-03-31 | RO | Advising on futures contracts | 2005-07-28 | 2006-05-26 | RO | Advising on securities | 2006-04-06 | 2013-03-31 | RO | Dealing in securities | 2006-04-06 | 2013-03-31 | RO | Advising on securities | 2013-09-17 | 2014-07-31 | RO | Asset management | 2013-09-17 | 2014-07-31 | RO | Dealing in securities | 2013-09-17 | 2014-07-31 |
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