Lai, Dick Wai (SFC:AEJ001) 黎廸韋

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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 BNP PARIBAS SECURITIES (ASIA) LIMITED Rep Advising on corporate finance 2003-11-12
2 BNP PARIBAS PEREGRINE FUTURES LIMITED Rep Advising on futures contracts 2003-11-12
3 BNP PARIBAS SECURITIES (ASIA) LIMITED Rep Advising on securities 2003-11-12
Essence International Securities (Hong Kong) Limited Rep 2016-02-03 2024-01-25
4 BNP PARIBAS PEREGRINE FUTURES LIMITED Rep Asset management 2003-11-12
BNP PARIBAS SECURITIES (ASIA) LIMITED Rep 2003-11-12
5 BNP PARIBAS PEREGRINE FUTURES LIMITED Rep Dealing in futures contracts 2003-11-12
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED Rep 2004-06-16 2006-09-19
BOCI SECURITIES LIMITED Rep 2006-09-25 2008-08-28
HAI TONG SECURITIES (HK) BROKERAGE LIMITED Rep 2008-09-11 2011-05-03
HAITONG INTERNATIONAL FUTURES LIMITED Rep 2010-04-15 2012-09-29
Essence Futures (Hong Kong) Limited Rep 2012-10-05
6 BNP PARIBAS SECURITIES (ASIA) LIMITED Rep Dealing in securities 2003-11-12
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED Rep 2004-06-16 2006-09-19
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED Rep 2004-06-16 2006-09-19
BOCI SECURITIES LIMITED Rep 2006-09-25 2008-08-28
HAI TONG SECURITIES (HK) BROKERAGE LIMITED Rep 2008-09-11 2011-05-03
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED Rep 2010-04-15 2012-09-29
Essence International Securities (Hong Kong) Limited Rep 2012-10-05

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