Lam, Siu Hi 林少喜

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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 Bosera Asset Management (International) Co., Limited Rep Advising on securities 2014-03-05 2014-11-07
Rep Asset management 2014-03-05 2014-11-07
Rep Dealing in securities 2014-03-05 2014-11-07
2 CHINA MERCHANTS FUTURES (HK) CO., LIMITED Rep Advising on futures contracts 2003-06-21
Rep Asset management 2003-06-21
Rep Automated trading services 2003-06-21
Rep Dealing in futures contracts 2003-06-21
RO Automated trading services 2003-06-21 2005-03-07
RO Advising on futures contracts 2003-06-21 2013-09-02
RO Asset management 2003-06-21 2013-09-02
RO Dealing in futures contracts 2003-06-21 2013-09-02
3 CHINA MERCHANTS SECURITIES (HK) CO., LIMITED Rep Advising on corporate finance 2003-06-21
Rep Advising on securities 2003-06-21
Rep Asset management 2003-06-21
Rep Automated trading services 2003-06-21
Rep Dealing in securities 2003-06-21
RO Automated trading services 2003-06-21 2005-01-26
RO Advising on corporate finance 2003-06-21 2013-09-02
RO Advising on securities 2003-06-21 2013-09-02
RO Asset management 2003-06-21 2013-09-02
RO Dealing in securities 2003-06-21 2013-09-02
RO Dealing in futures contracts 2005-02-15 2013-09-02
4 CMS CAPITAL (HK) CO., LIMITED RO Advising on securities 2012-08-07 2013-09-02
RO Asset management 2012-08-07 2013-09-02
5 Soochow Securities International Asset Management Limited Rep Asset management 2015-05-08 2016-01-08
6 Soochow Securities International Brokerage Limited Rep Advising on securities 2015-05-08 2016-01-08
Rep Dealing in securities 2015-05-08 2016-01-08

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