Lam, Wo Hui 林和煦
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 | BERICH BROKERAGE LIMITED | Rep | Advising on corporate finance | 2003-10-06 | Rep | Advising on securities | 2003-10-06 | Rep | Asset management | 2003-10-06 | Rep | Dealing in securities | 2004-11-10 | RO | Dealing in securities | 2004-11-10 | 2005-05-10 | Rep | Dealing in securities | 2005-11-17 | 2007-10-20 |
| 2 | BERICH FUTURES (H.K.) COMPANY LIMITED | Rep | Advising on futures contracts | 2003-10-06 | Rep | Asset management | 2003-10-06 | Rep | Dealing in futures contracts | 2004-05-28 | RO | Dealing in futures contracts | 2004-05-28 | 2007-10-20 |
| 3 | ICBC INTERNATIONAL FUTURES LIMITED | RO | Dealing in futures contracts | 2009-05-06 | 2012-04-24 |
| 4 | ICBC INTERNATIONAL SECURITIES LIMITED | Rep | Dealing in securities | 2009-03-16 | 2009-05-05 | RO | Dealing in securities | 2009-05-05 | 2012-04-24 |
| 5 | Planetree Asset Management Limited (HK) | Rep | Asset management | 2024-03-15 | |
| 6 | Planetree Discount Lending Limited | RO | Securities margin financing | 2024-03-18 | |
| 7 | Planetree Futures Limited | Rep | Dealing in futures contracts | 2021-09-01 | 2024-09-20 | RO | Dealing in futures contracts | 2024-09-20 |
| 8 | Planetree Research Limited | RO | Advising on futures contracts | 2023-09-27 | RO | Advising on securities | 2023-09-27 |
| 9 | Planetree Securities Limited | Rep | Dealing in securities | 2021-09-01 | 2024-09-20 | Rep | Automated trading services | 2024-04-15 | 2024-09-20 | RO | Automated trading services | 2024-09-20 | RO | Dealing in securities | 2024-09-20 |
| 10 | SDHG International Asset Management Limited | Rep | Advising on futures contracts | 2015-07-29 | 2015-08-25 | RO | Advising on futures contracts | 2015-08-25 | 2016-09-01 |
| 11 | SHACOM FUTURES LIMITED | Rep | Advising on futures contracts | 2012-10-18 | 2012-11-26 | Rep | Dealing in futures contracts | 2012-10-18 | 2012-11-26 | RO | Advising on futures contracts | 2012-11-26 | 2013-07-03 | RO | Dealing in futures contracts | 2012-11-26 | 2013-07-03 |
| 12 | TFI Asset Management Limited | RO | Advising on futures contracts | 2016-09-28 | 2020-09-30 | RO | Advising on securities | 2017-05-19 | 2020-09-30 |
| 13 | Tung Shing Futures (Brokers) Limited | Rep | Dealing in futures contracts | 2007-11-12 | 2009-02-02 | RO | Dealing in futures contracts | 2009-02-02 | 2009-03-01 |
| 14 | Tung Shing Securities (Brokers) Limited | Rep | Dealing in securities | 2007-11-12 | 2009-03-01 |
| 15 | YUE XIU FUTURES COMPANY LIMITED | RO | Advising on futures contracts | 2014-01-06 | 2015-06-30 | RO | Dealing in futures contracts | 2014-01-06 | 2015-06-30 |
| 16 | YUE XIU SECURITIES COMPANY LIMITED | RO | Advising on futures contracts | 2013-12-02 | 2015-06-30 | RO | Dealing in futures contracts | 2013-12-02 | 2015-06-30 |
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