Lai, Dick Wai (SFC:AEJ001) 黎廸韋
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 | |
| 4 | Essence International Securities (Hong Kong) Limited | Rep | Advising on securities | 2016-02-03 | 2024-01-25 |
| 5 | BNP PARIBAS PEREGRINE FUTURES LIMITED | Rep | Asset management | 2003-11-12 | |
| 6 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Asset management | 2003-11-12 | |
| 7 | BNP PARIBAS PEREGRINE FUTURES LIMITED | Rep | Dealing in futures contracts | 2003-11-12 | |
| 8 | CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2004-06-16 | 2006-09-19 |
| 9 | BOCI SECURITIES LIMITED | Rep | Dealing in futures contracts | 2006-09-25 | 2008-08-28 |
| 10 | HAI TONG SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in futures contracts | 2008-09-11 | 2011-05-03 |
| 11 | HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2010-04-15 | 2012-09-29 |
| 12 | Essence Futures (Hong Kong) Limited | Rep | Dealing in futures contracts | 2012-10-05 | |
| 13 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2003-11-12 | |
| 14 | CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2004-06-16 | 2006-09-19 |
| 15 | CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2004-06-16 | 2006-09-19 |
| 16 | BOCI SECURITIES LIMITED | Rep | Dealing in securities | 2006-09-25 | 2008-08-28 |
| 17 | HAI TONG SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2008-09-11 | 2011-05-03 |
| 18 | HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2010-04-15 | 2012-09-29 |
| 19 | Essence International Securities (Hong Kong) Limited | Rep | Dealing in securities | 2012-10-05 |
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