SFC licenceholder AEJ001 LAI Dick Wai 黎廸韋

Licences

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Updated: 05 April 2020

Institution Role Licences Start date End date
Essence International Securities (Hong Kong) Limited 安信國際證券(香港)有限公司 RE [4] (Advising on Securities) 03 February 2016
Essence International Securities (Hong Kong) Limited 安信國際證券(香港)有限公司 RE [1] (Dealing in Securities) 05 October 2012
Essence Futures (Hong Kong) Limited 安信期貨(香港)有限公司 RE [2] (Dealing in Futures Contracts) 05 October 2012
Haitong International Securities Company Limited 海通國際證券有限公司 RE [1] (Dealing in Securities) 15 April 2010 29 September 2012
Haitong International Futures Limited 海通國際期貨有限公司 RE [2] (Dealing in Futures Contracts) 15 April 2010 29 September 2012
Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 11 September 2008 03 May 2011
BOCI Securities Limited 中銀國際證券有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 25 September 2006 28 August 2008
Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 RE [1] (Dealing in Securities) 16 June 2004 19 September 2006
Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 RE [1] (Dealing in Securities) 16 June 2004 19 September 2006
Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 RE [2] (Dealing in Futures Contracts) 16 June 2004 19 September 2006
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 RE [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance), [9] (Asset Management) 01 April 2003 12 November 2003
BNP Paribas Peregrine Futures Limited 法國巴黎百富勤期貨有限公司 RE [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts), [9] (Asset Management) 01 April 2003 12 November 2003