Joanne Pei-Chun Lai
賴佩君
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Joanne Pei-Chun Lai (賴佩君), a licensed Responsible Officer with CE reference ARO383. Currently licensed at 1 firm(s): New Prospect Capital Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 13.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| New Prospect Capital Limited 新域資本有限公司 |
RO | Type 1 — Dealing in securities | 2022-02-28 | present |
| New Prospect Capital Limited 新域資本有限公司 |
RO | Type 4 — Advising on securities | 2022-02-28 | present |
| New Prospect Capital Limited 新域資本有限公司 |
RO | Type 9 — Asset management | 2020-08-27 | present |
| New Prospect Capital Limited 新域資本有限公司 |
Rep | Type 1 — Dealing in securities | 2018-07-06 | 2022-02-28 |
| New Prospect Capital Limited 新域資本有限公司 |
Rep | Type 4 — Advising on securities | 2018-07-06 | 2022-02-28 |
| Shining Capital Management Hong Kong Limited 尚心資本管理香港有限公司 |
Rep | Type 9 — Asset management | 2013-10-16 | 2016-04-15 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-06-07 | 2013-09-13 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-06-07 | 2013-09-13 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-12-21 | 2010-05-04 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-10-27 | 2010-05-04 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-10-27 | 2010-05-04 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 — Advising on securities | 2008-08-29 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-08-29 | 2008-09-29 |