LAI Shun Wai, Patrick

賴汛維

CE AFM737Licensed IndividualSFO licence active

LAI Shun Wai, Patrick (CE number AFM737) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 3 (Leveraged FX), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 6 (Corporate finance), Type 7 (Automated trading), Type 9 (Asset management).

Regulated Activities (on record) (8)

RA 1 Dealing in Securities

RA 2 Dealing in Futures Contracts

RA 3 Leveraged Foreign Exchange Trading

RA 4 Advising on Securities

RA 5 Advising on Futures Contracts

RA 6 Advising on Corporate Finance

RA 7 Providing Automated Trading Services

RA 9 Asset Management

Roles & Accreditations (3)

Capacity	Company / Institution
Representative	HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司
Representative	HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司
Representative	HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司

Licence Record (8)

2003-04-01 – present Current

HSBC Broking Securities (Asia) Limited Rep

RA 1 RA 4 RA 6 RA 7 RA 9

2003-04-01 – present Current

HSBC Broking Futures (Asia) Limited Rep

RA 2 RA 5 RA 9

2003-04-01 – present Current

HSBC Broking Forex (Asia) Limited Rep

RA 3

2014-03-24 – 2017-08-07

HSBC Broking Securities (Asia) Limited RO

RA 1

2014-03-24 – 2017-07-16

HSBC Broking Securities (Hong Kong) Limited RO

RA 1

2014-03-24 – 2017-08-07

HSBC Broking Futures (Asia) Limited RO

RA 2

2014-03-24 – 2017-08-07

HSBC Broking Forex (Asia) Limited RO

RA 3

2003-04-01 – 2013-01-22

HSBC Broking Futures (Hong Kong) Limited Rep

RA 2 RA 5 RA 9

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AFM737