Francis Alvin Shu Fun Lai
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. This person has 20.1 years of SFC licence history. Total licence records on file: 13.
Information
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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 | Pre-2003 | 2004-12-21 |
| Platinum Securities Company Limited 百德能證券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2005-05-18 |
| Platinum Securities Company Limited 百德能證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-12-21 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Francis Alvin Shu Fun Lai 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. See the detailed formula.
| Name | Shared firm | Overlap |
|---|---|---|
| Kwai Yim Koh | Opus Capital Limited | 2015–present |
| Andrew On Kit Cheung | Opus Capital Limited | 2018–2024 |
| Man Kit Derek Chan | Opus Capital Limited | 2016–2023 |
| Tai Sheung Cheng | Opus Capital Limited | 2023–2026 |
| Xiao Han | Opus Capital Limited | 2020–present |
| Tsz Tung Tang | Opus Capital Limited | 2014–2022 |
| Wai Kit Chui | Opus Capital Limited | 2019–2023 |
| Wenwen Zhang | Opus Capital Limited | 2014–2020 |
| Kelly Wai Yan Hui | Opus Capital Limited | 2019–2023 |
| Lan Li | Opus Capital Limited | 2020–2023 |
| Lok Wing Wong | Opus Capital Limited | 2023–present |
| Jie Li | Opus Capital Limited | 2023–2026 |
| Tak Sau Yei | Opus Capital Limited | 2016–2019 |
| Cheong Wing Lam | Opus Capital Limited | 2018–2021 |
| Fraser John Glasgow | Opus Capital Limited | 2015–2019 |
| Chee Ming Liu | Platinum Securities Company Limited | 2003–2006 |
| Irene Ho Ying Poon | Platinum Securities Company Limited | 2003–2006 |
| Xiuyuan Guo | Opus Capital Limited | 2023–2024 |
| Kwok Kuen Wong | Tenacity Partners Limited | 2010–2013 |
| Wa Chau | Cushman & Wakefield Capital Asia (HK) Limited | 2008–2009 |