Norman Lai
黎樂仁
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Norman Lai (黎樂仁), a licensed Representative with CE reference AQC205. Currently licensed at 1 firm(s): CLSA Limited. Active regulated activities: Type 1 — Dealing in securities. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-05-24 | present |
| CLSA Futures Limited 里昂期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-12-20 | 2016-02-15 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2010-09-20 | 2012-09-28 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2007-11-30 | 2012-09-28 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2007-11-30 | 2012-09-28 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2007-11-30 | 2010-09-20 |