Lam, Sufan Kin Man 林建文

show old organisation names

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 Advising on futures contracts 2004-01-19
Rep Asset management 2004-01-19
Rep Dealing in futures contracts 2010-02-27
Rep Dealing in futures contracts 2013-12-04 2015-09-03
2 CES International Commodities (HK) Limited Rep Advising on futures contracts 2004-01-19
Rep Asset management 2004-01-19
Rep Dealing in futures contracts 2010-02-27
Rep Dealing in futures contracts 2013-12-04 2014-07-09
RO Dealing in futures contracts 2014-07-09 2015-09-03
3 De Riva Asia Limited Rep Dealing in futures contracts 2011-02-07 2012-05-02
Rep Dealing in securities 2011-02-07 2012-05-02
4 DL SECURITIES (HK) LIMITED Rep Advising on securities 2022-01-10
Rep Dealing in securities 2022-01-10
5 Everbright Securities Investment Services (HK) Limited Rep Automated trading services 2003-07-07
Rep Advising on corporate finance 2004-01-19
Rep Advising on securities 2004-01-19
Rep Asset management 2004-01-19
Rep Dealing in securities 2010-02-27
Rep Dealing in securities 2013-12-04 2015-09-03
6 SHENWAN HONGYUAN FUTURES (H.K.) LIMITED Rep Dealing in futures contracts 2012-05-14 2012-09-07
RO Dealing in futures contracts 2012-09-07 2013-11-16
7 SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED Rep Dealing in securities 2012-05-14 2012-09-07
RO Dealing in securities 2012-09-07 2013-11-16
8 SUN YI COMPANY LIMITED RO Dealing in futures contracts 2008-01-31 2010-02-27
Rep Dealing in futures contracts 2013-12-04 2014-11-20
9 ZHONGTAI INTERNATIONAL FINANCIAL PRODUCTS LIMITED RO Dealing in securities 2016-11-07 2019-01-01
10 ZHONGTAI INTERNATIONAL SECURITIES LIMITED Rep Dealing in securities 2016-01-07 2016-10-31

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