Lam, Tze Lok 林子樂
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 | CMBC INTERNATIONAL FUTURES COMPANY LIMITED | Rep | Dealing in futures contracts | 2010-11-16 | 2015-06-26 |
| 2 | CMBC SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2010-11-16 | 2015-06-26 |
| 3 | CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2009-11-06 | 2010-11-06 |
| 4 | CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2009-11-06 | 2010-11-06 |
| 5 | CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2009-11-06 | 2010-11-06 |
| 6 | Joy Rich Asset Management Company Limited | RO | Asset management | 2021-02-01 | |
| 7 | JOY RICH SECURITIES INVESTMENT LIMITED | Rep | Dealing in securities | 2019-06-05 | RO | Advising on securities | 2019-09-12 |
| 8 | NINE RIVERS CAPITAL PARTNERS LIMITED | Rep | Dealing in securities | 2015-10-20 | 2018-12-31 | Rep | Asset management | 2016-06-21 | 2018-02-27 | RO | Advising on securities | 2018-02-27 | 2018-12-31 | RO | Asset management | 2018-02-27 | 2018-12-31 |
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