Joanne Pei-Chun Lai
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Joanne Pei-Chun Lai (賴佩君), a licensed Responsible Officer with CE reference ARO383. Currently licensed at 1 firm(s): New Prospect Capital Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 15.4 years of SFC licence history. Total licence records on file: 13.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| New Prospect Capital Limited 新域資本有限公司 |
RO | Type 1 - Dealing in securities | 2022-02-28 | present |
| New Prospect Capital Limited 新域資本有限公司 |
RO | Type 4 - Advising on securities | 2022-02-28 | present |
| New Prospect Capital Limited 新域資本有限公司 |
RO | Type 9 - Asset management | 2020-08-27 | present |
| New Prospect Capital Limited 新域資本有限公司 |
Rep | Type 1 - Dealing in securities | 2018-07-06 | 2022-02-28 |
| New Prospect Capital Limited 新域資本有限公司 |
Rep | Type 4 - Advising on securities | 2018-07-06 | 2022-02-28 |
| Shining Capital Management Hong Kong Limited 尚心資本管理香港有限公司 |
Rep | Type 9 - Asset management | 2013-10-16 | 2016-04-15 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2010-06-07 | 2013-09-13 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-06-07 | 2013-09-13 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-12-21 | 2010-05-04 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2008-10-27 | 2010-05-04 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2008-10-27 | 2010-05-04 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 - Advising on securities | 2008-08-29 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2008-08-29 | 2008-09-29 |
Worked alongside
The 10 closest colleagues, strongest tie first — individuals licensed at the same firm as Joanne Pei-Chun Lai 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.
| Name | Shared firm | Overlap |
|---|---|---|
| Hui Wang | New Prospect Capital Limited | 2018–present |
| Yu-Hui Tu | New Prospect Capital Limited | 2018–2024 |
| Ting Kay Ho | New Prospect Capital Limited | 2022–present |
| Sen Ming Lim | Shining Capital Management Hong Kong Limited | 2013–2016 |
| Xiangwei Weng | Shining Capital Management Hong Kong Limited | 2013–2016 |
| Linda Ning Ning Luo | Shining Capital Management Hong Kong Limited | 2013–2016 |
| Koon Leung Tsang | Shining Capital Management Hong Kong Limited | 2013–2016 |
| Wing Lung Yeung | Shining Capital Management Hong Kong Limited | 2013–2015 |
| Liang Huang | Shining Capital Management Hong Kong Limited | 2013–2015 |
| Kai Zhang | Shining Capital Management Hong Kong Limited | 2013–2014 |