SFC Licences of CHAN Lai Sze 陳麗絲

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
BOCOM Schroder Asset Management (Hong Kong) Company Limited 交銀施羅德資產管理(香港)有限公司 RE 9 01 September 2014 01 August 2016
BOCOM Schroder Asset Management (Hong Kong) Company Limited 交銀施羅德資產管理(香港)有限公司 RE 4 01 September 2014 01 August 2016
BOCOM Schroder Asset Management (Hong Kong) Company Limited 交銀施羅德資產管理(香港)有限公司 RE 1 01 September 2014 01 August 2016
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RO 9 17 September 2013 31 July 2014
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RO 9 17 September 2013 31 July 2014
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RO 4 17 September 2013 31 July 2014
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RO 1 17 September 2013 31 July 2014
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RO 4 06 April 2006 31 March 2013
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RO 1 06 April 2006 31 March 2013
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RO 4 06 April 2006 31 March 2013
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RO 1 06 April 2006 31 March 2013
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RE 1 02 December 2005 06 April 2006
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RO 5 28 July 2005 26 May 2006
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RO 5 28 July 2005 26 May 2006
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RO 9 15 December 2004 31 March 2013
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RO 9 15 December 2004 31 March 2013
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RE 4 01 April 2003 06 April 2006
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RE 1 01 April 2003 06 April 2006
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RE 4 01 April 2003 06 April 2006
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RE 5 01 April 2003 28 July 2005
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RE 5 01 April 2003 28 July 2005
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RE 9 01 April 2003 15 December 2004
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RE 9 01 April 2003 15 December 2004
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RE 6 01 April 2003 29 October 2004
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RE 6 01 April 2003 29 October 2004