Lam, Sze Man (SFC:AXT415) 林思敏
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 | CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2019-09-10 | 2021-12-01 |
| 2 | Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2019-09-10 | 2021-12-01 | Rep | Advising on securities | 2019-10-22 | 2021-12-01 |
| 3 | Holly International Financial Holdings Limited | Rep | Dealing in futures contracts | 2013-09-23 | 2014-07-02 |
| 4 | KGI ASIA LIMITED | Rep | Dealing in securities | 2011-08-08 | 2012-04-06 |
| 5 | KGI FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2011-08-08 | 2012-04-06 |
| 6 | OCBC Futures Investment (Hong Kong) Limited | Rep | Dealing in futures contracts | 2022-03-10 | 2022-05-29 |
| 7 | OCBC Securities Brokerage (Hong Kong) Limited | Rep | Dealing in securities | 2022-03-10 | 2022-05-29 |
| 8 | PRUDENTIAL BROKERAGE LIMITED | Rep | Dealing in securities | 2022-08-10 | |
| 9 | PRUDENTIAL INDEX TRADING COMPANY LIMITED | Rep | Dealing in futures contracts | 2022-08-10 | |
| 10 | RHB FUTURES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2018-09-24 | 2019-08-25 |
| 11 | RHB SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2018-09-24 | 2019-08-25 |
| 12 | SHANXI SECURITIES INTERNATIONAL FINANCIAL HOLDINGS LIMITED | Rep | Dealing in futures contracts | 2016-11-17 | 2017-03-31 |
| 13 | SHANXI SECURITIES INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2016-12-19 | 2018-09-09 |
| 14 | SHANXI SECURITIES INTERNATIONAL LIMITED | Rep | Dealing in securities | 2016-11-17 | 2018-09-09 |
| 15 | SOUTH CHINA COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2012-04-26 | 2013-09-06 |
| 16 | SOUTH CHINA SECURITIES LIMITED | Rep | Dealing in securities | 2012-04-26 | 2013-09-06 |
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