Waini Karen Tai
戴維妮
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Waini Karen Tai (戴維妮), a licensed former licensee with CE reference APC027. This person has 2.8 years of SFC licence history. Total licence records on file: 4.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 4 - Advising on securities | 2010-10-15 | 2012-08-25 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 - Dealing in securities | 2007-06-20 | 2008-05-22 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2007-06-20 | 2008-05-22 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-06-20 | 2008-05-22 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Waini Karen Tai 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.