SFC Licences of LAPPIN Graham Michael
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Merrill Lynch Futures (Hong Kong) Limited | RE | 2 | 16 May 2008 | 31 March 2009 |
| Merrill Lynch Far East Limited | RE | 1 | 19 April 2007 | 31 March 2009 |
| Merrill Lynch (Asia Pacific) Limited | RE | 1 | 19 April 2007 | 31 March 2009 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 | RE | 1 | 01 April 2003 | 02 April 2007 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 | RE | 4 | 01 April 2003 | 23 March 2005 |
| RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 | RE | 9 | 01 April 2003 | 04 February 2005 |
| RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 | RE | 1 | 01 April 2003 | 04 February 2005 |
| RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 | RE | 6 | 01 April 2003 | 04 February 2005 |
| RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 | RE | 4 | 01 April 2003 | 04 February 2005 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 | RE | 6 | 01 April 2003 | 24 September 2004 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 | RE | 9 | 01 April 2003 | 24 September 2004 |