Lai, Augustine Tak Chi 黎德志
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 | CHINA ZHONG HENG FINANCE GROUP LIMITED | Rep | Advising on securities | 2017-11-09 | 2017-12-22 | Rep | Asset management | 2017-11-09 | 2017-12-22 | Rep | Dealing in securities | 2017-11-09 | 2017-12-22 | RO | Advising on securities | 2017-12-22 | 2018-07-04 | RO | Asset management | 2017-12-22 | 2018-07-04 | RO | Dealing in securities | 2017-12-22 | 2018-07-04 |
| 2 | Novel Wealth Management Limited | RO | Advising on securities | 2021-04-12 | 2022-09-13 | RO | Asset management | 2021-04-12 | 2022-09-13 | RO | Dealing in securities | 2021-04-12 | 2022-09-13 | Rep | Advising on securities | 2022-09-13 | 2023-01-17 | Rep | Asset management | 2022-09-13 | 2023-01-17 | Rep | Dealing in securities | 2022-09-13 | 2023-01-17 | RO | Advising on securities | 2023-01-17 | RO | Asset management | 2023-01-17 | RO | Dealing in securities | 2023-01-17 |
| 3 | ROYAL MORGAN FUND MANAGEMENT CO. LIMITED | Rep | Advising on securities | 2018-07-19 | 2018-08-01 | Rep | Asset management | 2018-07-19 | 2018-08-01 | Rep | Dealing in securities | 2018-07-19 | 2018-08-01 | RO | Advising on securities | 2018-08-01 | 2021-03-15 | RO | Asset management | 2018-08-01 | 2021-03-15 | RO | Dealing in securities | 2018-08-01 | 2021-03-15 |
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