Tang, Lai Kwan 鄧麗群
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 | KARL-THOMSON COMMODITIES COMPANY LIMITED | Rep | Dealing in futures contracts | 2009-02-04 | 2010-07-09 |
| 2 | KARL-THOMSON SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2009-02-04 | 2010-07-09 | Rep | Dealing in securities | 2010-09-16 | 2012-05-14 | Rep | Dealing in securities | 2015-06-09 | 2015-12-21 |
| 3 | PIPER JAFFRAY ASIA FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-02-24 | 2009-01-31 |
| 4 | PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | Dealing in securities | 2003-09-11 | 2009-01-31 |
| 5 | SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Advising on futures contracts | 2003-08-22 | Rep | Asset management | 2003-08-22 | Rep | Dealing in futures contracts | 2003-08-22 |
| 6 | SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Advising on corporate finance | 2003-08-22 | Rep | Advising on securities | 2003-08-22 | Rep | Asset management | 2003-08-22 | Rep | Automated trading services | 2003-08-22 | Rep | Dealing in securities | 2003-08-22 |
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