Tsung-Yu Lai
賴宗裕
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tsung-Yu Lai (賴宗裕), a licensed Responsible Officer with CE reference BLL631. Currently licensed at 1 firm(s): Broad Fund Management Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Broad Fund Management Limited 博大基金管理有限公司 |
RO | Type 4 — Advising on securities | 2023-09-07 | present |
| Broad Fund Management Limited 博大基金管理有限公司 |
RO | Type 9 — Asset management | 2023-09-07 | present |
| China-Hong Kong Connect International Securities Limited 中港通國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2021-10-19 | 2023-01-27 |
| Hang Tai Asset Management Limited 恒泰資產管理有限公司 |
RO | Type 4 — Advising on securities | 2021-10-19 | 2023-01-27 |
| Hang Tai Asset Management Limited 恒泰資產管理有限公司 |
RO | Type 9 — Asset management | 2021-10-19 | 2023-01-27 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 |
RO | Type 4 — Advising on securities | 2021-03-26 | 2021-04-11 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2020-06-05 | 2021-04-11 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2020-06-05 | 2021-04-11 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
RO | Type 9 — Asset management | 2020-06-05 | 2021-04-11 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2020-04-06 | 2020-06-05 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 9 — Asset management | 2020-04-06 | 2020-06-05 |
| Pamirs Capital (H.K.) Limited 高原証券有限公司 |
RO | Type 1 — Dealing in securities | 2018-09-19 | 2019-07-16 |
| Pamirs Capital (H.K.) Limited 高原証券有限公司 |
RO | Type 4 — Advising on securities | 2018-02-02 | 2020-01-31 |
| Pamirs Capital (H.K.) Limited 高原証券有限公司 |
RO | Type 9 — Asset management | 2018-02-02 | 2020-01-31 |
| Pamirs Capital (H.K.) Limited 高原証券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-12-14 | 2018-09-19 |
| Pamirs Capital (H.K.) Limited 高原証券有限公司 |
Rep | Type 4 — Advising on securities | 2017-12-14 | 2018-02-02 |
| Pamirs Capital (H.K.) Limited 高原証券有限公司 |
Rep | Type 9 — Asset management | 2017-12-14 | 2018-02-02 |