Lum, Sam Pak Sum 林柏森

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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 Asia Joyful Limited RO Asset management 2016-09-20
RO Advising on securities 2020-01-31
2 CHI SHUN LIMITED RO Asset management 2014-10-29 2015-12-01
3 CHINA RICH ASSET MANAGEMENT LIMITED Rep Asset management 2004-09-14 2004-10-14
Rep Advising on securities 2004-09-14 2006-03-29
RO Asset management 2004-10-14 2009-01-10
RO Advising on securities 2006-03-29 2009-01-10
4 DRAKE & MORGAN LIMITED (HK) RO Dealing in securities 2005-04-12 2008-10-18
5 FIRST SECURITIES (HK) LIMITED Rep Advising on corporate finance 2003-12-09
Rep Advising on securities 2003-12-09
Rep Asset management 2003-12-09
Rep Dealing in securities 2003-12-09
RO Advising on corporate finance 2003-12-09 2004-09-02
RO Advising on securities 2003-12-09 2004-09-02
RO Asset management 2003-12-09 2004-09-02
RO Dealing in securities 2003-12-09 2004-09-02
6 RaffAello Capital Limited RO Advising on corporate finance 2012-07-05 2016-09-08
7 REXCAPITAL (HONG KONG) LIMITED Rep Advising on corporate finance 2004-09-14 2004-10-14
RO Advising on corporate finance 2004-10-14 2009-01-10
8 REXCAPITAL FUTURES LIMITED Rep Dealing in futures contracts 2007-01-17 2007-12-01
9 SPDB International Holdings Limited Rep Advising on corporate finance 2009-07-02 2009-09-18
Rep Asset management 2009-07-02 2012-06-27
RO Advising on corporate finance 2009-09-18 2012-06-27
10 WINGS SECURITIES (HK) LIMITED Rep Dealing in securities 2004-09-14 2006-12-29

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