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KWAN Lai On, Warren

關澧安
CE AAM201Licensed IndividualSFO licence active
Official SFC record

KWAN Lai On, Warren (CE number AAM201) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 6 (Corporate finance), Type 9 (Asset management).

Regulated Activities (on record) (6)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
RepresentativeKGI Asia Limited
凱基證券亞洲有限公司
RepresentativeKGI Asset Management Limited
凱基資產管理有限公司

Licence Record (15)

2023-05-19 – present Current
KGI Asia Limited Rep
RA 1 RA 4
2023-05-19 – present Current
KGI Asset Management Limited Rep
RA 9
2022-08-15 – 2023-03-17
Zeal Asset Management Limited RO
RA 9
2021-03-19 – 2023-03-17
Zeal Asset Management Limited Rep
RA 1 RA 4 RA 9
2017-07-11 – 2021-01-03
dLab Asset Management Limited RO
RA 4 RA 9
2017-03-07 – 2017-04-28
Sprout Asset Management (Asia) Limited RO
RA 9
2017-01-20 – 2017-03-07
Sprout Asset Management (Asia) Limited Rep
RA 9
2016-05-06 – 2025-01-28
KGI Asset Management Limited RO
RA 9
2013-05-08 – 2015-10-20
LW Asset Management Advisors Limited RO
RA 9
2007-03-09 – 2007-04-16
Standard Advisory Asia Limited RO
RA 1 RA 2 RA 4 RA 5
2004-12-03 – 2006-04-13
BOCI Asia Limited RO
RA 1
2004-12-03 – 2006-04-13
BOCI Securities Limited RO
RA 1 RA 2
2003-07-22 – 2006-04-13
BOCI Commodities & Futures Limited RO
RA 2
2003-04-01 – 2004-12-03
BOCI Securities Limited Rep
RA 1 RA 4 RA 6 RA 9
2003-04-01 – 2003-07-22
BOCI Commodities & Futures Limited Rep
RA 2 RA 5 RA 9

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AAM201