Lam, Kate Hiu Ha 林曉霞
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.
Some data are hidden to fit your display. Rotate?
| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | ASG FUTURES LIMITED | Rep | Advising on futures contracts | 2003-09-04 | Rep | Asset management | 2003-09-04 | Rep | Dealing in futures contracts | 2003-10-22 |
| 2 | ASG MANAGEMENT LIMITED (HK) | Rep | Advising on corporate finance | 2003-09-04 | Rep | Advising on securities | 2003-09-04 | Rep | Asset management | 2003-09-04 | Rep | Dealing in securities | 2003-10-22 |
| 3 | China Finance Holdings Limited | Rep | Dealing in securities | 2015-05-26 | 2015-06-04 | RO | Dealing in securities | 2015-06-04 | 2016-11-04 |
| 4 | Finet Securities Limited | Rep | Dealing in futures contracts | 2015-05-26 | 2015-06-04 | Rep | Dealing in securities | 2015-05-26 | 2015-06-04 | RO | Dealing in futures contracts | 2015-06-04 | 2016-11-04 | RO | Dealing in securities | 2015-06-04 | 2016-11-04 |
| 5 | KARL-THOMSON COMMODITIES COMPANY LIMITED | Rep | Dealing in futures contracts | 2003-10-22 | 2004-03-31 |
| 6 | KARL-THOMSON SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2003-10-22 | 2004-03-31 |
| 7 | Nerico Brothers Limited (HK) | Rep | Dealing in futures contracts | 2017-09-13 | 2017-11-02 | Rep | Dealing in securities | 2017-09-13 | 2017-11-02 | RO | Dealing in futures contracts | 2017-11-02 | 2022-05-05 | RO | Dealing in securities | 2017-11-02 | 2022-05-05 |
| 8 | Planetree Futures Limited | Rep | Dealing in futures contracts | 2023-02-01 | 2023-03-22 | RO | Dealing in futures contracts | 2023-03-22 |
| 9 | Planetree Securities Limited | Rep | Dealing in securities | 2023-02-01 | 2023-03-22 | RO | Dealing in securities | 2023-03-22 |
| 10 | QUAM FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-04-16 | 2006-01-31 |
| 11 | Quam Securities Limited | Rep | Dealing in securities | 2004-04-16 | 2014-07-19 | Rep | Dealing in futures contracts | 2004-10-21 | 2014-07-19 |
| 12 | Ruisen Port Securities Limited | Rep | Dealing in futures contracts | 2014-07-25 | 2014-08-07 | Rep | Dealing in securities | 2014-07-25 | 2014-08-07 | RO | Dealing in futures contracts | 2014-08-07 | 2015-05-15 | RO | Dealing in securities | 2014-08-07 | 2015-05-15 |
Sign up for our free newsletter
Recommend Webb-site to a friend
Copyright & disclaimer, Privacy policy