Lai Sze Chan
陳麗絲
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lai Sze Chan (陳麗絲), a licensed former licensee with CE reference ACO201. This person has 12.8 years of SFC licence history. Total licence records on file: 25.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BOCOM Schroder Asset Management (Hong Kong) Company Limited 交銀施羅德資產管理(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-09-01 | 2016-08-01 |
| BOCOM Schroder Asset Management (Hong Kong) Company Limited 交銀施羅德資產管理(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2014-09-01 | 2016-08-01 |
| BOCOM Schroder Asset Management (Hong Kong) Company Limited 交銀施羅德資產管理(香港)有限公司 |
Rep | Type 9 - Asset management | 2014-09-01 | 2016-08-01 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 1 - Dealing in securities | 2013-09-17 | 2014-07-31 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 4 - Advising on securities | 2013-09-17 | 2014-07-31 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
RO | Type 9 - Asset management | 2013-09-17 | 2014-07-31 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 9 - Asset management | 2013-09-17 | 2014-07-31 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 1 - Dealing in securities | 2006-04-06 | 2013-03-31 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
RO | Type 1 - Dealing in securities | 2006-04-06 | 2013-03-31 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 4 - Advising on securities | 2006-04-06 | 2013-03-31 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
RO | Type 4 - Advising on securities | 2006-04-06 | 2013-03-31 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 1 - Dealing in securities | 2005-12-02 | 2006-04-06 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
RO | Type 5 - Advising on futures contracts | 2005-07-28 | 2006-05-26 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 5 - Advising on futures contracts | 2005-07-28 | 2006-05-26 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
RO | Type 9 - Asset management | 2004-12-15 | 2013-03-31 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 9 - Asset management | 2004-12-15 | 2013-03-31 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2006-04-06 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2006-04-06 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 4 - Advising on securities | Pre-2003 | 2006-04-06 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2005-07-28 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2005-07-28 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-10-29 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-10-29 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-12-15 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 9 - Asset management | Pre-2003 | 2004-12-15 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Lai Sze Chan during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one.