Tsz Lan Chua
蔡紫蘭
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tsz Lan Chua (蔡紫蘭), a licensed Responsible Officer with CE reference AAI500. Currently licensed at 1 firm(s): Glenworth Capital Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 49.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Glenworth Capital Limited | RO | Type 4 — Advising on securities | 2023-02-27 | present |
| Glenworth Capital Limited | RO | Type 9 — Asset management | 2023-02-27 | present |
| CC Venture Capital Limited 邁進機遇風險投資有限公司 |
Rep | Type 4 — Advising on securities | 2022-11-08 | 2023-02-01 |
| CC Venture Capital Limited 邁進機遇風險投資有限公司 |
Rep | Type 9 — Asset management | 2022-11-08 | 2023-02-01 |
| Hao Tian Asset Management Limited 昊天資產管理有限公司 |
RO | Type 4 — Advising on securities | 2021-09-02 | 2022-02-09 |
| Hao Tian Asset Management Limited 昊天資產管理有限公司 |
RO | Type 9 — Asset management | 2021-09-02 | 2022-02-09 |
| Glenworth Capital Limited | RO | Type 4 — Advising on securities | 2020-01-23 | 2021-08-01 |
| Glenworth Capital Limited | RO | Type 9 — Asset management | 2020-01-23 | 2021-08-01 |
| Glenworth Capital Limited | Rep | Type 4 — Advising on securities | 2019-11-19 | 2020-01-23 |
| Glenworth Capital Limited | Rep | Type 9 — Asset management | 2019-11-19 | 2020-01-23 |
| Neutral Financial Holding Company Limited 中和金控有限公司 |
RO | Type 4 — Advising on securities | 2018-05-02 | 2019-10-24 |
| Neutral Financial Holding Company Limited 中和金控有限公司 |
RO | Type 9 — Asset management | 2018-04-11 | 2019-10-24 |
| Neutral Financial Holding Company Limited 中和金控有限公司 |
Rep | Type 1 — Dealing in securities | 2016-05-20 | 2019-10-24 |
| Neutral Financial Holding Company Limited 中和金控有限公司 |
Rep | Type 4 — Advising on securities | 2016-05-20 | 2018-05-02 |
| Neutral Financial Holding Company Limited 中和金控有限公司 |
Rep | Type 9 — Asset management | 2016-05-20 | 2018-04-11 |
| Caitong International Securities Co., Limited 財通國際證券有限公司 |
RO | Type 4 — Advising on securities | 2015-06-02 | 2016-03-11 |
| Caitong International Asset Management Co., Limited 財通國際資產管理有限公司 |
RO | Type 4 — Advising on securities | 2015-01-23 | 2016-03-11 |
| Caitong International Asset Management Co., Limited 財通國際資產管理有限公司 |
RO | Type 9 — Asset management | 2015-01-23 | 2016-03-11 |
| Caitong International Asset Management Co., Limited 財通國際資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2014-12-15 | 2015-01-23 |
| Caitong International Asset Management Co., Limited 財通國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2014-12-15 | 2015-01-23 |
| Caitong International Securities Co., Limited 財通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-12-12 | 2016-03-11 |
| China Galaxy International Asset Management (Hong Kong) Co., Limited 中國銀河國際資産管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2013-02-25 | 2014-08-07 |
| China Galaxy International Asset Management (Hong Kong) Co., Limited 中國銀河國際資産管理(香港)有限公司 |
RO | Type 9 — Asset management | 2013-02-25 | 2014-08-07 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-08-01 | 2014-08-07 |
| China Galaxy International Futures (Hong Kong) Co., Limited 中國銀河國際期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-08-01 | 2014-08-07 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2012-08-01 | 2014-08-07 |
| Cinda International Asset Management Limited 信達國際資產管理有限公司 |
RO | Type 4 — Advising on securities | 2010-09-27 | 2012-04-01 |
| Cinda International Asset Management Limited 信達國際資產管理有限公司 |
RO | Type 9 — Asset management | 2010-09-27 | 2012-04-01 |
| Cinda International Asset Management Limited 信達國際資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2010-08-20 | 2010-09-27 |
| Cinda International Asset Management Limited 信達國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2010-08-20 | 2010-09-27 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2009-12-15 | 2010-08-13 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-12-15 | 2010-08-13 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
RO | Type 4 — Advising on securities | 2009-12-15 | 2010-08-13 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
RO | Type 9 — Asset management | 2009-12-15 | 2010-08-13 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2009-09-30 | 2009-12-15 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
Rep | Type 9 — Asset management | 2009-09-30 | 2009-12-15 |
| Penjing Asset Management (HK) Limited 盆景資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2009-03-05 | 2009-09-17 |
| Penjing Asset Management (HK) Limited 盆景資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2009-03-05 | 2009-09-17 |
| Bright Fund Management Limited 光明投資管理有限公司 |
Rep | Type 1 — Dealing in securities | 2008-01-04 | 2008-12-03 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-01-04 | 2008-12-03 |
| Bright Fund Management Limited 光明投資管理有限公司 |
Rep | Type 4 — Advising on securities | 2008-01-04 | 2008-12-03 |
| Bright Fund Management Limited 光明投資管理有限公司 |
Rep | Type 9 — Asset management | 2008-01-04 | 2008-12-03 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 |
RO | Type 4 — Advising on securities | 2007-02-28 | 2007-12-07 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 |
Rep | Type 4 — Advising on securities | 2006-05-09 | 2007-02-28 |
| ICEA Securities Asia Limited 工商東亞證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2005-12-29 | 2006-04-19 |
| MIB Securities (Hong Kong) Limited 馬銀證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2005-08-04 | 2005-11-11 |
| Delta Asia Securities Limited 滙業證券有限公司 |
Rep | Type 1 — Dealing in securities | 2003-10-27 | 2005-05-31 |
| Delta Asia Financial Futures Limited 滙業金融期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2003-10-27 | 2005-05-31 |
| Delta Asia Securities Limited 滙業證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2003-10-27 | 2005-01-14 |