Graham Michael Lappin
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Graham Michael Lappin ( ), a licensed former licensee with CE reference AGB470. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-05-16 | 2009-03-31 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2007-04-19 | 2009-03-31 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2007-04-19 | 2009-03-31 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2007-04-02 |
| RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2005-02-04 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-03-23 |
| RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-02-04 |
| RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2005-02-04 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-09-24 |
| RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2005-02-04 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2004-09-24 |