Lai, Johnson Kai Tsun 黎啟進
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 | Credit Suisse (Hong Kong) Limited | Rep | Automated trading services | 2009-08-18 | 2013-11-01 | Rep | Dealing in futures contracts | 2009-08-18 | 2021-12-17 | Rep | Dealing in securities | 2009-08-18 | 2021-12-17 | Rep | Advising on securities | 2009-12-29 | 2021-12-17 | Rep | Advising on futures contracts | 2018-12-10 | 2021-12-17 |
| 2 | Credit Suisse Securities (Hong Kong) Limited | Rep | Dealing in securities | 2010-06-30 | 2021-12-17 |
| 3 | UBS DERIVATIVES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2008-07-02 | 2009-07-10 |
| 4 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2008-07-02 | 2009-07-10 | Rep | Dealing in securities | 2008-07-02 | 2009-07-10 |
| 5 | UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2008-07-02 | 2009-07-10 |
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