Lappin, Graham Michael
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 | Credit Agricole Securities (Asia) Limited | Rep | Advising on corporate finance | 2004-09-24 | Rep | Asset management | 2004-09-24 | Rep | Advising on securities | 2005-03-23 | Rep | Dealing in securities | 2007-04-02 |
| 2 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2007-04-19 | 2009-03-31 |
| 3 | Merrill Lynch Far East Limited | Rep | Dealing in securities | 2007-04-19 | 2009-03-31 |
| 4 | MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-05-16 | 2009-03-31 |
| 5 | RBS Asia Securities (Hong Kong) Limited | Rep | Advising on corporate finance | 2005-02-04 | Rep | Advising on securities | 2005-02-04 | Rep | Asset management | 2005-02-04 | Rep | Dealing in securities | 2005-02-04 |
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