Lap Yan Lai
賴立人
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lap Yan Lai (賴立人), a licensed Responsible Officer with CE reference AUR101. Currently licensed at 2 firm(s): CITIC Securities Futures (HK) Limited, CITIC Securities Brokerage (HK) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2021-03-12 | present |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2020-09-14 | present |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2020-09-14 | 2021-03-12 |
| UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2019-02-28 | 2020-08-31 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-02-26 | 2020-08-31 |
| UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-02-26 | 2019-02-28 |
| Bright Smart Securities International (H.K.) Limited 耀才證券國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-03-12 | 2014-02-16 |
| Bright Smart Futures & Commodities Company Limited 耀才期貨及商品有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-03-12 | 2014-02-16 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-09-08 | 2011-12-21 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-09-08 | 2011-12-21 |
| Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-09-08 | 2011-12-21 |
| Emperor Wealth Management Limited 英皇財富管理有限公司 |
Rep | Type 1 — Dealing in securities | 2010-05-05 | 2011-09-05 |
| Emperor Securities Limited 英皇證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-02-03 | 2011-09-05 |
| Emperor Futures Limited 英皇期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-02-03 | 2011-09-05 |