Siu Ha Lai
黎少霞
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Ha Lai (黎少霞), a licensed Responsible Officer with CE reference ADQ680. Currently licensed at 1 firm(s): Aesop Asset Management Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Aesop Asset Management Limited 晉灃資產管理有限公司 |
RO | Type 4 — Advising on securities | 2023-02-24 | present |
| Aesop Asset Management Limited 晉灃資產管理有限公司 |
RO | Type 9 — Asset management | 2023-02-24 | present |
| Aesop Asset Management Limited 晉灃資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2023-02-03 | 2023-02-24 |
| Aesop Asset Management Limited 晉灃資產管理有限公司 |
Rep | Type 9 — Asset management | 2023-02-03 | 2023-02-24 |
| Daiwa Asset Management (H.K.) Limited 大和投資管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2021-08-19 | 2022-11-30 |
| Daiwa Asset Management (H.K.) Limited 大和投資管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2010-05-11 | 2021-06-09 |
| Daiwa Asset Management (H.K.) Limited 大和投資管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2010-05-06 | 2021-08-19 |
| CCB International Securities Limited 建銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2009-10-08 | 2010-04-16 |
| CCB International Securities Limited 建銀國際證券有限公司 |
RO | Type 4 — Advising on securities | 2006-05-09 | 2009-10-08 |
| CCB International Securities Limited 建銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2005-10-12 | 2006-05-09 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 1 — Dealing in securities | 2005-08-26 | 2005-10-25 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-07-22 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-06-28 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-06-28 |