Kwan, Warren Lai On 關澧安

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SFC licenses

Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.

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Organisation Role Activity From Until
1 BOCI ASIA LIMITED RO Dealing in securities 2004-12-03 2006-04-13
2 BOCI COMMODITIES & FUTURES LIMITED Rep Advising on futures contracts 2003-06-10
Rep Asset management 2003-06-10
Rep Dealing in futures contracts 2003-07-22
RO Dealing in futures contracts 2003-07-22 2006-04-13
3 BOCI SECURITIES LIMITED Rep Advising on corporate finance 2003-06-10
Rep Advising on securities 2003-06-10
Rep Asset management 2003-06-10
Rep Dealing in securities 2004-12-03
RO Dealing in securities 2004-12-03 2006-04-13
RO Dealing in futures contracts 2005-10-06 2006-04-13
4 dLab Asset Management Limited RO Asset management 2017-07-11 2021-01-03
RO Advising on securities 2019-02-13 2021-01-03
5 KGI ASIA LIMITED Rep Advising on securities 2023-05-19
Rep Dealing in securities 2023-05-19
6 KGI Asset Management Limited RO Asset management 2016-05-06 2016-10-01
Rep Asset management 2023-05-19 2024-03-25
RO Asset management 2024-03-25
7 LW Asset Management Advisors Limited RO Asset management 2013-05-08 2015-10-20
8 Sprout Asset Management (Asia) Limited Rep Asset management 2017-01-20 2017-03-07
RO Asset management 2017-03-07 2017-04-28
9 Standard Advisory Asia Limited RO Advising on futures contracts 2007-03-09 2007-04-16
RO Advising on securities 2007-03-09 2007-04-16
RO Dealing in futures contracts 2007-03-09 2007-04-16
RO Dealing in securities 2007-03-09 2007-04-16
10 ZEAL ASSET MANAGEMENT LIMITED Rep Asset management 2021-03-19 2022-08-15
Rep Advising on securities 2021-03-19 2023-03-17
Rep Dealing in securities 2021-03-19 2023-03-17
RO Asset management 2022-08-15 2023-03-17

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