Barbara Lai Kuen Shuen
旋麗娟
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Barbara Lai Kuen Shuen (旋麗娟), CE reference AAE792. Currently licensed at 2 firm(s): Shenwan Hongyuan Securities (H.K.) Limited, Shenwan Hongyuan Futures (H.K.) Limited. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-11-03 | present |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-11-03 | present |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-09-30 | 2010-10-31 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 5 — Advising on futures contracts | 2005-09-30 | 2010-10-31 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2010-10-31 |
| Jefferies Bache (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | present | 2005-10-04 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-10-14 |
| Jefferies Bache (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | present | 2004-10-14 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-10-14 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-10-14 |
| Jefferies Bache (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2004-10-14 |