Warren Lai On Kwan
關澧安
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Warren Lai On Kwan (關澧安), CE reference AAM201. Currently licensed at 2 firm(s): KGI Asset Management Limited, KGI Asia Limited. Total licence records on file: 30.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KGI Asset Management Limited 凱基資產管理有限公司 |
Rep | Type 9 — Asset management | 2025-01-28 | present |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2023-05-19 | present |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2023-05-19 | present |
| KGI Asset Management Limited 凱基資產管理有限公司 |
RO | Type 9 — Asset management | 2024-03-25 | 2025-01-28 |
| KGI Asset Management Limited 凱基資產管理有限公司 |
Rep | Type 9 — Asset management | 2023-05-19 | 2024-03-25 |
| Zeal Asset Management Limited 行健資產管理有限公司 |
RO | Type 9 — Asset management | 2022-08-15 | 2023-03-17 |
| Zeal Asset Management Limited 行健資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2021-03-19 | 2023-03-17 |
| Zeal Asset Management Limited 行健資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2021-03-19 | 2023-03-17 |
| Zeal Asset Management Limited 行健資產管理有限公司 |
Rep | Type 9 — Asset management | 2021-03-19 | 2022-08-15 |
| dLab Asset Management Limited |
RO | Type 4 — Advising on securities | 2019-02-13 | 2021-01-03 |
| dLab Asset Management Limited |
RO | Type 9 — Asset management | 2017-07-11 | 2021-01-03 |
| Sprout Asset Management (Asia) Limited | RO | Type 9 — Asset management | 2017-03-07 | 2017-04-28 |
| Sprout Asset Management (Asia) Limited | Rep | Type 9 — Asset management | 2017-01-20 | 2017-03-07 |
| KGI Asset Management Limited 凱基資產管理有限公司 |
RO | Type 9 — Asset management | 2016-05-06 | 2016-10-01 |
| LW Asset Management Advisors Limited 利達財富管理顧問有限公司 |
RO | Type 9 — Asset management | 2013-05-08 | 2015-10-20 |
| Standard Advisory Asia Limited 標銀亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2007-03-09 | 2007-04-16 |
| Standard Advisory Asia Limited 標銀亞洲有限公司 |
RO | Type 2 — Dealing in futures contracts | 2007-03-09 | 2007-04-16 |
| Standard Advisory Asia Limited 標銀亞洲有限公司 |
RO | Type 4 — Advising on securities | 2007-03-09 | 2007-04-16 |
| Standard Advisory Asia Limited 標銀亞洲有限公司 |
RO | Type 5 — Advising on futures contracts | 2007-03-09 | 2007-04-16 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2005-10-06 | 2006-04-13 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2004-12-03 | 2006-04-13 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2004-12-03 | 2006-04-13 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2003-07-22 | 2006-04-13 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-12-03 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2003-07-22 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-06-10 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-06-10 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-06-10 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
Rep | Type 9 — Asset management | present | 2003-06-10 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 9 — Asset management | present | 2003-06-10 |