Lay, Richard Donovan
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED | Rep | Dealing in futures contracts | 2008-05-29 | 2010-08-31 | Rep | Dealing in securities | 2008-05-29 | 2010-08-31 |
| 2 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in futures contracts | 2005-10-14 | 2007-09-17 | Rep | Dealing in securities | 2005-10-14 | 2007-09-17 |
| 3 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2007-11-07 | 2008-04-24 |
| 4 | Merrill Lynch Far East Limited | Rep | Dealing in securities | 2007-11-07 | 2008-04-24 |
| 5 | MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2007-11-07 | 2008-04-24 |
| 6 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2005-04-11 | 2005-09-06 |
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