Richard Donovan Lay
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Donovan Lay ( ), a licensed former licensee with CE reference ALW485. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 |
Rep | Type 1 - Dealing in securities | 2008-05-29 | 2010-08-31 |
| Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-05-29 | 2010-08-31 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2007-11-07 | 2008-04-24 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2007-11-07 | 2008-04-24 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2007-11-07 | 2008-04-24 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 - Dealing in securities | 2005-10-14 | 2007-09-17 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2005-10-14 | 2007-09-17 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2005-04-11 | 2005-09-06 |