Lam, Siu Hi 林少喜
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 | Bosera Asset Management (International) Co., Limited | Rep | Advising on securities | 2014-03-05 | 2014-11-07 | Rep | Asset management | 2014-03-05 | 2014-11-07 | Rep | Dealing in securities | 2014-03-05 | 2014-11-07 |
2 | CHINA MERCHANTS FUTURES (HK) CO., LIMITED | Rep | Advising on futures contracts | 2003-06-21 | Rep | Asset management | 2003-06-21 | Rep | Automated trading services | 2003-06-21 | Rep | Dealing in futures contracts | 2003-06-21 | RO | Automated trading services | 2003-06-21 | 2005-03-07 | RO | Advising on futures contracts | 2003-06-21 | 2013-09-02 | RO | Asset management | 2003-06-21 | 2013-09-02 | RO | Dealing in futures contracts | 2003-06-21 | 2013-09-02 |
3 | CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | Advising on corporate finance | 2003-06-21 | Rep | Advising on securities | 2003-06-21 | Rep | Asset management | 2003-06-21 | Rep | Automated trading services | 2003-06-21 | Rep | Dealing in securities | 2003-06-21 | RO | Automated trading services | 2003-06-21 | 2005-01-26 | RO | Advising on corporate finance | 2003-06-21 | 2013-09-02 | RO | Advising on securities | 2003-06-21 | 2013-09-02 | RO | Asset management | 2003-06-21 | 2013-09-02 | RO | Dealing in securities | 2003-06-21 | 2013-09-02 | RO | Dealing in futures contracts | 2005-02-15 | 2013-09-02 |
4 | CMS CAPITAL (HK) CO., LIMITED | RO | Advising on securities | 2012-08-07 | 2013-09-02 | RO | Asset management | 2012-08-07 | 2013-09-02 |
5 | Soochow Securities International Asset Management Limited | Rep | Asset management | 2015-05-08 | 2016-01-08 |
6 | Soochow Securities International Brokerage Limited | Rep | Advising on securities | 2015-05-08 | 2016-01-08 | Rep | Dealing in securities | 2015-05-08 | 2016-01-08 |
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