Lam, Chi Kwan (SFC:AGA429) 林志坤
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 | AllianceBernstein Hong Kong Limited | Rep | Dealing in securities | 2007-07-17 | 2009-01-01 | Rep | Advising on futures contracts | 2007-09-17 | 2009-01-01 | Rep | Advising on securities | 2007-09-17 | 2009-01-01 | Rep | Asset management | 2007-09-17 | 2009-01-01 | Rep | Dealing in futures contracts | 2007-09-17 | 2009-01-01 |
| 2 | Alpine River Capital Management (HK) Limited | Rep | Asset management | 2015-06-08 | 2015-11-30 |
| 3 | BlackRock (Hong Kong) Limited (d2017-01-20) | Rep | Advising on securities | 2009-02-02 | 2014-01-06 | Rep | Asset management | 2009-02-02 | 2014-01-06 | Rep | Dealing in securities | 2009-02-02 | 2014-01-06 |
| 4 | BlackRock Asset Management North Asia Limited | Rep | Advising on securities | 2012-07-31 | 2014-01-06 | Rep | Asset management | 2012-07-31 | 2014-01-06 | Rep | Dealing in securities | 2012-07-31 | 2014-01-06 | Rep | Dealing in futures contracts | 2012-11-02 | 2014-01-06 |
| 5 | CLSA LIMITED | Rep | Dealing in securities | 2005-04-13 | 2007-05-28 |
| 6 | DNB Asset Management (Asia) Limited | Rep | Advising on corporate finance | 2003-11-06 | Rep | Advising on securities | 2003-11-06 | Rep | Asset management | 2005-03-23 |
| 7 | Premia Partners Company Limited | Rep | Asset management | 2017-05-29 | 2019-01-11 |
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