Lam, Yu On 林裕安
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 | CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2008-03-20 | 2013-12-12 |
| 2 | CES International Commodities (HK) Limited | Rep | Dealing in futures contracts | 2005-02-04 | 2013-12-12 |
| 3 | CHINA FINANCE KAB ASSET MANAGEMENT LIMITED | RO | Advising on securities | 2016-05-05 | 2017-05-31 | RO | Asset management | 2016-05-05 | 2017-05-31 |
| 4 | China Finance KAB Limited | Rep | Dealing in futures contracts | 2015-04-08 | 2017-05-31 | Rep | Dealing in securities | 2015-04-08 | 2017-05-31 |
| 5 | CITIC Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2004-03-16 | 2005-01-15 |
| 6 | CITIC Securities Futures (HK) Limited | Rep | Dealing in futures contracts | 2004-03-16 | 2005-01-15 |
| 7 | Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2005-02-04 | 2013-12-12 |
| 8 | PRUDENTIAL BROKERAGE LIMITED | Rep | Advising on corporate finance | 2004-02-27 | Rep | Advising on securities | 2004-02-27 | Rep | Asset management | 2004-02-27 | Rep | Automated trading services | 2004-02-27 | Rep | Dealing in securities | 2004-02-27 |
| 9 | PRUDENTIAL INDEX TRADING COMPANY LIMITED | Rep | Advising on futures contracts | 2004-02-27 | Rep | Asset management | 2004-02-27 | Rep | Dealing in futures contracts | 2004-02-27 |
| 10 | Seazen Resources Asset Management Limited | RO | Advising on securities | 2017-06-09 | 2019-08-21 | RO | Asset management | 2017-06-09 | 2019-08-21 | RO | Dealing in securities | 2017-06-09 | 2019-08-21 |
| 11 | Seazen Resources Futures Limited | Rep | Dealing in futures contracts | 2017-06-09 | 2019-08-21 |
| 12 | SW Capital Management Limited | RO | Advising on securities | 2022-04-14 | RO | Asset management | 2022-04-14 |
| 13 | WELL KING ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2020-12-18 | 2021-01-15 | Rep | Asset management | 2020-12-18 | 2021-01-15 | RO | Advising on securities | 2021-01-15 | 2021-04-09 | RO | Asset management | 2021-01-15 | 2021-04-09 |
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