Lai, Yan 賴焉
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 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Advising on corporate finance | 2014-09-19 | 2016-01-21 | Rep | Dealing in securities | 2014-09-19 | 2016-01-21 |
2 | CCB INTERNATIONAL CAPITAL LIMITED | Rep | Advising on corporate finance | 2016-04-21 | 2018-11-09 | Rep | Advising on securities | 2016-04-21 | 2018-11-09 | Rep | Dealing in securities | 2016-04-21 | 2018-11-09 |
3 | CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | Advising on corporate finance | 2022-01-07 | 2022-06-27 | Rep | Dealing in securities | 2022-01-07 | 2022-06-27 | RO | Advising on corporate finance | 2022-06-27 | RO | Dealing in securities | 2022-06-27 |
4 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2018-12-07 | 2019-11-18 | Rep | Advising on securities | 2018-12-07 | 2019-11-18 | Rep | Dealing in securities | 2018-12-07 | 2019-11-18 | RO | Advising on corporate finance | 2019-11-18 | 2021-12-11 | RO | Advising on securities | 2019-11-18 | 2021-12-11 | RO | Dealing in securities | 2019-11-18 | 2021-12-11 |
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