Lam, Mandy Choi Ying 林賽盈
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 | RHB ASSET MANAGEMENT LIMITED | Rep | Asset management | 2009-09-24 | 2011-01-13 |
| 2 | RHB FUTURES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2009-03-09 | 2009-09-24 | RO | Dealing in futures contracts | 2009-09-24 | 2011-08-31 |
| 3 | RHB SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2009-03-09 | 2009-09-24 | Rep | Advising on securities | 2009-03-09 | 2011-08-31 | RO | Dealing in securities | 2009-09-24 | 2011-08-31 |
| 4 | SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2004-04-30 | 2009-02-01 |
| 5 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2004-04-30 | 2009-02-01 |
| 6 | SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Advising on futures contracts | 2004-02-26 | Rep | Asset management | 2004-02-26 | Rep | Dealing in futures contracts | 2009-02-01 |
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