SFC Licences of LAI Tsung-Yu 賴宗裕

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

Institution Role Licences Start date End date
Broad Fund Management Limited 博大基金管理有限公司 RO 9 07 September 2023
Broad Fund Management Limited 博大基金管理有限公司 RO 4 07 September 2023
China-Hong Kong Connect International Securities Limited 中港通國際證券有限公司 RO 1 19 October 2021 27 January 2023
Hang Tai Asset Management Limited 恒泰資產管理有限公司 RO 9 19 October 2021 27 January 2023
Hang Tai Asset Management Limited 恒泰資產管理有限公司 RO 4 19 October 2021 27 January 2023
CSC Futures (HK) Limited 群益期貨(香港)有限公司 RO 4 26 March 2021 11 April 2021
CSC Securities (HK) Limited 群益證券(香港)有限公司 RO 9 05 June 2020 11 April 2021
CSC Securities (HK) Limited 群益證券(香港)有限公司 RO 4 05 June 2020 11 April 2021
CSC Securities (HK) Limited 群益證券(香港)有限公司 RO 1 05 June 2020 11 April 2021
CSC Securities (HK) Limited 群益證券(香港)有限公司 RE 9 06 April 2020 05 June 2020
CSC Securities (HK) Limited 群益證券(香港)有限公司 RE 4 06 April 2020 05 June 2020
Pamirs Capital (H.K.) Limited 高原証券有限公司 RO 1 19 September 2018 16 July 2019
Pamirs Capital (H.K.) Limited 高原証券有限公司 RO 9 02 February 2018 31 January 2020
Pamirs Capital (H.K.) Limited 高原証券有限公司 RO 4 02 February 2018 31 January 2020
Pamirs Capital (H.K.) Limited 高原証券有限公司 RE 1 14 December 2017 19 September 2018
Pamirs Capital (H.K.) Limited 高原証券有限公司 RE 9 14 December 2017 02 February 2018
Pamirs Capital (H.K.) Limited 高原証券有限公司 RE 4 14 December 2017 02 February 2018