Francis Alvin Shu Fun Lai
黎樹勳
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Francis Alvin Shu Fun Lai (黎樹勳), a licensed Responsible Officer with CE reference AGK070. Currently licensed at 1 firm(s): Opus Capital Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Opus Capital Limited 創富融資有限公司 |
RO | Type 1 — Dealing in securities | 2025-07-31 | present |
| Opus Capital Limited 創富融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2014-08-18 | present |
| UZen Securities Limited 眾宸證券有限公司 |
RO | Type 1 — Dealing in securities | 2022-11-23 | 2024-09-03 |
| Opus Capital Limited 創富融資有限公司 |
RO | Type 1 — Dealing in securities | 2014-08-18 | 2022-12-10 |
| Tenacity Partners Limited 天誠金融集團有限公司 |
RO | Type 1 — Dealing in securities | 2010-08-13 | 2013-04-26 |
| Tenacity Partners Limited 天誠金融集團有限公司 |
RO | Type 6 — Advising on corporate finance | 2010-08-13 | 2013-04-26 |
| Cushman & Wakefield Capital Asia (HK) Limited |
RO | Type 1 — Dealing in securities | 2008-03-05 | 2010-01-31 |
| Cushman & Wakefield Capital Asia (HK) Limited |
RO | Type 6 — Advising on corporate finance | 2008-03-05 | 2010-01-31 |
| Platinum Securities Company Limited 百德能證券有限公司 |
RO | Type 1 — Dealing in securities | 2005-08-17 | 2006-09-15 |
| Platinum Securities Company Limited 百德能證券有限公司 |
RO | Type 6 — Advising on corporate finance | 2005-05-18 | 2006-09-15 |
| Platinum Securities Company Limited 百德能證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-12-21 |
| Platinum Securities Company Limited 百德能證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2005-05-18 |
| Platinum Securities Company Limited 百德能證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-12-21 |