Lam, Sze Man (SFC:AXT415) 林思敏

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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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