Yan Lai
賴焉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yan Lai (賴焉), a licensed Responsible Officer with CE reference BEE229. Currently licensed at 1 firm(s): China Merchants Securities (HK) Co., Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2022-06-27 | present |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2022-06-27 | present |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2022-01-07 | 2022-06-27 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2022-01-07 | 2022-06-27 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2019-11-18 | 2021-12-11 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 4 — Advising on securities | 2019-11-18 | 2021-12-11 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2019-11-18 | 2021-12-11 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2018-12-07 | 2019-11-18 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2018-12-07 | 2019-11-18 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-12-07 | 2019-11-18 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 1 — Dealing in securities | 2016-04-21 | 2018-11-09 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 4 — Advising on securities | 2016-04-21 | 2018-11-09 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-04-21 | 2018-11-09 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2014-09-19 | 2016-01-21 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-09-19 | 2016-01-21 |