LAI Lap Yan

賴立人

CE AUR101Licensed IndividualResponsible OfficerSFO licence active

LAI Lap Yan (CE number AUR101) is an individual licensed by the Hong Kong SFC. First licensed on 2010-02-03. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (2)

RA 1 Dealing in Securities

RA 2 Dealing in Futures Contracts

Roles & Accreditations (2)

Capacity	Company / Institution
Responsible Officer	CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司
Representative	CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司

Licence Record (14)

2021-03-12 – present Current

CITIC Securities Futures (HK) Limited RO

RA 2

2020-09-14 – present Current

CITIC Securities Brokerage (HK) Limited Rep

RA 1

2020-09-14 – 2021-03-12

CITIC Securities Futures (HK) Limited Rep

RA 2

2019-02-28 – 2020-08-31

UOB Kay Hian Futures (Hong Kong) Limited RO

RA 2

2014-02-26 – 2020-08-31

UOB Kay Hian (Hong Kong) Limited Rep

RA 1

2014-02-26 – 2019-02-28

UOB Kay Hian Futures (Hong Kong) Limited Rep

RA 2

2012-03-12 – 2014-02-16

Bright Smart Securities International (H.K.) Limited Rep

RA 1

2012-03-12 – 2014-02-16

Bright Smart Futures & Commodities Company Limited Rep

RA 2

2011-09-08 – 2011-12-21

Core Pacific - Yamaichi International (H.K.) Limited Rep

RA 1

2011-09-08 – 2011-12-21

Core Pacific-Yamaichi Securities (H.K.) Limited Rep

RA 1

2011-09-08 – 2011-12-21

Core Pacific-Yamaichi Futures (H.K.) Limited Rep

RA 2

2010-05-05 – 2011-09-05

Emperor Wealth Management Limited Rep

RA 1

2010-02-03 – 2011-09-05

Emperor Securities Limited Rep

RA 1

2010-02-03 – 2011-09-05

Emperor Futures Limited Rep

RA 2

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/AUR101