Lam, Sufan Kin Man 林建文
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 | Advising on futures contracts | 2004-01-19 | Rep | Asset management | 2004-01-19 | Rep | Dealing in futures contracts | 2010-02-27 | Rep | Dealing in futures contracts | 2013-12-04 | 2015-09-03 |
2 | CES International Commodities (HK) Limited | Rep | Advising on futures contracts | 2004-01-19 | Rep | Asset management | 2004-01-19 | Rep | Dealing in futures contracts | 2010-02-27 | Rep | Dealing in futures contracts | 2013-12-04 | 2014-07-09 | RO | Dealing in futures contracts | 2014-07-09 | 2015-09-03 |
3 | De Riva Asia Limited | Rep | Dealing in futures contracts | 2011-02-07 | 2012-05-02 | Rep | Dealing in securities | 2011-02-07 | 2012-05-02 |
4 | DL SECURITIES (HK) LIMITED | Rep | Advising on securities | 2022-01-10 | Rep | Dealing in securities | 2022-01-10 |
5 | Everbright Securities Investment Services (HK) Limited | Rep | Automated trading services | 2003-07-07 | Rep | Advising on corporate finance | 2004-01-19 | Rep | Advising on securities | 2004-01-19 | Rep | Asset management | 2004-01-19 | Rep | Dealing in securities | 2010-02-27 | Rep | Dealing in securities | 2013-12-04 | 2015-09-03 |
6 | SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2012-05-14 | 2012-09-07 | RO | Dealing in futures contracts | 2012-09-07 | 2013-11-16 |
7 | SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2012-05-14 | 2012-09-07 | RO | Dealing in securities | 2012-09-07 | 2013-11-16 |
8 | SUN YI COMPANY LIMITED | RO | Dealing in futures contracts | 2008-01-31 | 2010-02-27 | Rep | Dealing in futures contracts | 2013-12-04 | 2014-11-20 |
9 | ZHONGTAI INTERNATIONAL FINANCIAL PRODUCTS LIMITED | RO | Dealing in securities | 2016-11-07 | 2019-01-01 |
10 | ZHONGTAI INTERNATIONAL SECURITIES LIMITED | Rep | Dealing in securities | 2016-01-07 | 2016-10-31 |
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