SFC licenceholder ARG205 LAI Kai Tsun, Johnson 黎啟進

Licences

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

Updated: 15 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 [5] (Advising on Futures Contracts) 10 December 2018
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RE [1] (Dealing in Securities) 30 June 2010
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE [4] (Advising on Securities) 29 December 2009
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) 18 August 2009
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE [7] (Providing Automated Trading Services) 18 August 2009 01 November 2013
UBS Securities Hong Kong Limited RE [1] (Dealing in Securities) 02 July 2008 10 July 2009
UBS Securities Asia Limited RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 02 July 2008 10 July 2009
UBS Derivatives Hong Kong Limited RE [2] (Dealing in Futures Contracts) 02 July 2008 10 July 2009