Tsao Lung Lai
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tsao Lung Lai (賴朝隆), a licensed Responsible Officer with CE reference AMR811. Currently licensed at 1 firm(s): CTBC Asia Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 20.0 years of SFC licence history. Total licence records on file: 24.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CTBC Asia Limited 中國信託綜合證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2022-09-08 | present |
| CTBC Asia Limited 中國信託綜合證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2022-09-08 | present |
| CTBC Asia Limited 中國信託綜合證券(香港)有限公司 |
RO | Type 9 - Asset management | 2022-09-08 | present |
| CTBC Asia Limited 中國信託綜合證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2022-07-28 | 2022-09-08 |
| CTBC Asia Limited 中國信託綜合證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2022-07-28 | 2022-09-08 |
| CTBC Asia Limited 中國信託綜合證券(香港)有限公司 |
Rep | Type 9 - Asset management | 2022-07-28 | 2022-09-08 |
| HS Securities Limited 和升證券有限公司 |
RO | Type 1 - Dealing in securities | 2020-10-14 | 2022-02-28 |
| HS Securities Limited 和升證券有限公司 |
RO | Type 4 - Advising on securities | 2020-10-14 | 2022-02-28 |
| HS Securities Limited 和升證券有限公司 |
RO | Type 9 - Asset management | 2020-10-14 | 2022-02-28 |
| Open Securities Limited 開盤證券有限公司 |
RO | Type 1 - Dealing in securities | 2014-04-28 | 2020-08-13 |
| Open Securities Limited 開盤證券有限公司 |
RO | Type 2 - Dealing in futures contracts | 2014-04-28 | 2020-08-13 |
| Open Asset Management Limited 開盤資産管理有限公司 |
RO | Type 4 - Advising on securities | 2014-04-28 | 2020-08-13 |
| Open Securities Limited 開盤證券有限公司 |
RO | Type 4 - Advising on securities | 2014-04-28 | 2020-08-13 |
| Open Asset Management Limited 開盤資産管理有限公司 |
RO | Type 9 - Asset management | 2013-08-09 | 2020-08-13 |
| Open Securities Limited 開盤證券有限公司 |
Rep | Type 1 - Dealing in securities | 2013-01-14 | 2014-04-28 |
| Open Securities Limited 開盤證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-01-14 | 2014-04-28 |
| Open Securities Limited 開盤證券有限公司 |
Rep | Type 4 - Advising on securities | 2013-01-14 | 2014-04-28 |
| Open Asset Management Limited 開盤資産管理有限公司 |
Rep | Type 9 - Asset management | 2013-01-14 | 2013-08-09 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-05-28 | 2013-01-01 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2007-05-28 | 2013-01-01 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | 2007-05-28 | 2013-01-01 |
| Phillip Capital Management (HK) Limited 輝立資本管理(香港)有限公司 |
Rep | Type 9 - Asset management | 2007-05-28 | 2013-01-01 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2007-05-11 | 2013-01-01 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2005-12-09 | 2007-03-31 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Tsao Lung 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.