Lai, Tsao Lung 賴朝隆
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 | CTBC Asia Limited | Rep | Advising on securities | 2022-07-28 | 2022-09-08 | Rep | Asset management | 2022-07-28 | 2022-09-08 | Rep | Dealing in securities | 2022-07-28 | 2022-09-08 | RO | Advising on securities | 2022-09-08 | RO | Asset management | 2022-09-08 | RO | Dealing in securities | 2022-09-08 |
| 2 | HS Securities Limited | RO | Advising on securities | 2020-10-14 | 2022-02-28 | RO | Asset management | 2020-10-14 | 2022-02-28 | RO | Dealing in securities | 2020-10-14 | 2022-02-28 |
| 3 | Open Asset Management Limited | Rep | Asset management | 2013-01-14 | 2013-08-09 | RO | Asset management | 2013-08-09 | 2020-08-13 | RO | Advising on securities | 2014-04-28 | 2020-08-13 |
| 4 | Open Securities Limited | Rep | Advising on securities | 2013-01-14 | 2014-04-28 | Rep | Dealing in futures contracts | 2013-01-14 | 2014-04-28 | Rep | Dealing in securities | 2013-01-14 | 2014-04-28 | RO | Advising on securities | 2014-04-28 | 2020-08-13 | RO | Dealing in futures contracts | 2014-04-28 | 2020-08-13 | RO | Dealing in securities | 2014-04-28 | 2020-08-13 |
| 5 | PHILLIP CAPITAL MANAGEMENT (HK) LIMITED | Rep | Asset management | 2007-05-28 | 2013-01-01 |
| 6 | PHILLIP COMMODITIES (H.K.) LIMITED | Rep | Advising on futures contracts | 2007-05-28 | 2013-01-01 | Rep | Dealing in futures contracts | 2007-05-28 | 2013-01-01 |
| 7 | PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2007-05-11 | 2013-01-01 | Rep | Advising on securities | 2007-05-28 | 2013-01-01 |
| 8 | Yuanta Asia Investment (Hong Kong) Limited | RO | Dealing in securities | 2005-12-09 | 2007-03-31 |
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