Lai, Siu Ha 黎少霞
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 | AESOP ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2023-02-03 | 2023-02-24 | Rep | Asset management | 2023-02-03 | 2023-02-24 | RO | Advising on securities | 2023-02-24 | RO | Asset management | 2023-02-24 |
| 2 | CCB INTERNATIONAL CAPITAL LIMITED | Rep | Dealing in securities | 2005-08-26 | 2005-10-25 |
| 3 | CCB INTERNATIONAL SECURITIES LIMITED | Rep | Advising on securities | 2005-10-12 | 2006-05-09 | RO | Advising on securities | 2006-05-09 | 2009-10-08 | Rep | Advising on securities | 2009-10-08 | 2010-04-16 |
| 4 | CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Advising on corporate finance | 2004-06-28 | Rep | Asset management | 2004-06-28 | Rep | Advising on securities | 2005-07-22 |
| 5 | DAIWA ASSET MANAGEMENT (H.K.) LIMITED | Rep | Advising on securities | 2010-05-06 | 2021-08-19 | Rep | Asset management | 2010-05-11 | 2021-06-09 | RO | Advising on securities | 2021-08-19 | 2022-11-30 |
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