SFC Licences of LAY Richard Donovan
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 | RE | 2 | 29 May 2008 | 31 August 2010 |
| Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 | RE | 1 | 29 May 2008 | 31 August 2010 |
| Merrill Lynch Futures (Hong Kong) Limited | RE | 2 | 07 November 2007 | 24 April 2008 |
| Merrill Lynch Far East Limited | RE | 1 | 07 November 2007 | 24 April 2008 |
| Merrill Lynch (Asia Pacific) Limited | RE | 1 | 07 November 2007 | 24 April 2008 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 2 | 14 October 2005 | 17 September 2007 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 1 | 14 October 2005 | 17 September 2007 |
| UBS Securities Asia Limited | RE | 1 | 11 April 2005 | 06 September 2005 |