Patrick Shun Wai Lai
賴汛維
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Patrick Shun Wai Lai (賴汛維), CE reference AFM737. Currently licensed at 3 firm(s): HSBC Broking Securities (Asia) Limited, HSBC Broking Futures (Asia) Limited, HSBC Broking Forex (Asia) Limited. Total licence records on file: 20.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-08-07 | present |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-08-07 | present |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2017-08-07 | present |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2015-03-24 | present |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2014-03-24 | 2017-08-07 |
| HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2014-03-24 | 2017-07-16 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2014-03-24 | 2017-08-07 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
RO | Type 3 — Leveraged foreign exchange trading | 2014-03-24 | 2017-08-07 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2014-03-24 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2014-03-24 |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2013-01-22 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | present | 2014-03-24 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-08-05 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-08-05 |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-08-05 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-08-05 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-09-02 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2004-08-05 |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-08-05 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2004-08-05 |