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LAI Wai Ming

黎偉明
CE AUP361Licensed IndividualSFO licence active
Official SFC record

LAI Wai Ming (CE number AUP361) is an individual licensed by the Hong Kong SFC. First licensed on 2010-01-22. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing).

Regulated Activities (on record) (2)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts

Roles & Accreditations (2)

CapacityCompany / Institution
RepresentativePrudential Brokerage Limited
信誠證券有限公司
RepresentativePrudential Index Trading Company Limited
信誠期貨有限公司

Licence Record (3)

2011-04-07 – present Current
Prudential Index Trading Company Limited Rep
RA 2
2011-03-30 – present Current
Prudential Brokerage Limited Rep
RA 1
2010-01-22 – 2011-03-24
Southwest Securities (HK) Brokerage Limited Rep
RA 1

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/AUP361