Carolina Lai Ping Chan
陳麗萍
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Carolina Lai Ping Chan (陳麗萍), a licensed former licensee with CE reference ANA832. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2013-10-18 | 2014-06-06 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-10-18 | 2014-06-06 |
| Cypress International Investment Advisors Limited 栢鴻國際投資顧問有限公司 |
Rep | Type 4 — Advising on securities | 2007-04-23 | 2007-10-31 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 4 — Advising on securities | 2006-07-25 | 2007-02-28 |
| Greater China Securities Limited 大中華證券有限公司 |
Rep | Type 1 — Dealing in securities | 2006-03-23 | 2006-05-04 |