Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

LAI Yan

賴焉
CE BEE229Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LAI Yan (CE number BEE229) is an individual licensed by the Hong Kong SFC. First licensed on 2014-09-19. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerChina Merchants Securities (HK) Co., Limited
招商證券(香港)有限公司

Licence Record (6)

2022-06-27 – present Current
China Merchants Securities (HK) Co., Limited RO
RA 1 RA 6
2022-01-07 – 2022-06-27
China Merchants Securities (HK) Co., Limited Rep
RA 1 RA 6
2019-11-18 – 2021-12-11
Huatai Financial Holdings (Hong Kong) Limited RO
RA 1 RA 4 RA 6
2018-12-07 – 2019-11-18
Huatai Financial Holdings (Hong Kong) Limited Rep
RA 1 RA 4 RA 6
2016-04-21 – 2018-11-09
CCB International Capital Limited Rep
RA 1 RA 4 RA 6
2014-09-19 – 2016-01-21
Barclays Capital Asia Limited Rep
RA 1 RA 6

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/BEE229