Kai Wing Lai
黎啟榮
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kai Wing Lai (黎啟榮), a licensed former licensee with CE reference AFV860. Total licence records on file: 22.
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 | 2019-11-06 | 2024-11-04 |
| 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 | 2019-11-06 | 2024-11-04 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 7 — Providing automated trading services | 2013-07-24 | 2019-03-13 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2010-12-06 | 2019-03-13 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-01-08 | 2019-03-13 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 — Dealing in securities | 2009-01-08 | 2019-03-13 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2009-01-08 | 2010-12-06 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2009-01-08 | 2013-07-24 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | 2009-01-08 | 2010-12-06 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-08-03 | 2008-10-14 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2005-05-18 | 2007-07-26 |
| 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 | 2005-05-18 | 2007-07-26 |
| Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | 2005-05-18 | 2005-12-01 |
| Wings Securities (HK) Limited 金鵬證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2005-05-13 |
| REXCAPITAL Futures Limited 御泰期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2005-05-13 |
| China Rich Asset Management Limited 中國薈智資產管理有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-04-28 |
| Wings Securities (HK) Limited 金鵬證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-04-28 |
| REXCAPITAL Futures Limited 御泰期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-04-28 |
| Wings Securities (HK) Limited 金鵬證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-04-28 |
| China Rich Asset Management Limited 中國薈智資產管理有限公司 |
Rep | Type 9 — Asset management | present | 2005-05-13 |
| REXCAPITAL Futures Limited 御泰期貨有限公司 |
Rep | Type 9 — Asset management | present | 2004-04-28 |
| Wings Securities (HK) Limited 金鵬證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-04-28 |