SFC licenceholder ACU891 LAI Wai Tsz 黎慧慈

Licences

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

Updated: 28 February 2020

Institution Role Licences Start date End date
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 08 October 2018
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RE [1] (Dealing in Securities), [7] (Providing Automated Trading Services) 08 October 2018
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 25 May 2007 21 June 2018
Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 RE [2] (Dealing in Futures Contracts) 17 February 2006 14 May 2007
Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 RE [1] (Dealing in Securities) 13 October 2003 14 May 2007
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RE [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance), [9] (Asset Management) 01 April 2003 22 August 2003
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance), [9] (Asset Management) 01 April 2003 22 August 2003