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LAI Iris Chin Yan

賴展昕
CE BAU634Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LAI Iris Chin Yan (CE number BAU634) is an individual licensed by the Hong Kong SFC. First licensed on 2013-01-31. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerMingshi Investment Management Limited
鳴石投資(香港)管理有限公司

Licence Record (7)

2021-09-16 – present Current
Mingshi Investment Management Limited RO
RA 4 RA 9
2020-09-15 – 2021-09-15
OP Investment Management Limited Rep
RA 9
2018-05-30 – 2020-04-14
Caitong International Asset Management Co., Limited RO
RA 1 RA 9
2017-04-19 – 2020-02-14
Caitong International Securities Co., Limited Rep
RA 1
2017-03-09 – 2020-04-14
Caitong International Asset Management Co., Limited Rep
RA 4 RA 9
2015-08-28 – 2017-02-24
Springboard Capital Limited Rep
RA 4 RA 9
2013-01-31 – 2015-07-25
Ortus Capital Management Limited Rep
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/BAU634