Lam, Sau Tung 林壽彤
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 | CHINA HANYA ASSET MANAGEMENT LIMITED | RO | Advising on securities | 2015-12-02 | 2016-01-08 | RO | Asset management | 2015-12-02 | 2016-01-08 |
| 2 | CMBC ASSET MANAGEMENT COMPANY LIMITED | RO | Asset management | 2017-08-17 | 2021-07-28 |
| 3 | CMBC INTERNATIONAL FUTURES COMPANY LIMITED | RO | Dealing in futures contracts | 2017-07-19 | 2021-07-28 |
| 4 | CMBC SECURITIES COMPANY LIMITED | Rep | Advising on securities | 2017-06-15 | 2017-07-05 | Rep | Dealing in securities | 2017-06-15 | 2017-07-05 | RO | Advising on securities | 2017-07-05 | 2021-07-28 | RO | Dealing in securities | 2017-07-05 | 2021-07-28 |
| 5 | CSC SECURITIES (HK) LIMITED | Rep | Advising on securities | 2016-08-23 | 2016-09-06 | Rep | Asset management | 2016-08-23 | 2016-09-06 | Rep | Dealing in futures contracts | 2016-08-23 | 2016-09-06 | Rep | Dealing in securities | 2016-08-23 | 2016-09-06 | RO | Advising on securities | 2016-09-06 | 2017-05-29 | RO | Asset management | 2016-09-06 | 2017-05-29 | RO | Dealing in futures contracts | 2016-09-06 | 2017-05-29 | RO | Dealing in securities | 2016-09-06 | 2017-05-29 |
| 6 | FULBRIGHT ASSET MANAGEMENT LIMITED | Rep | Asset management | 2013-03-11 | 2015-04-15 | RO | Asset management | 2015-04-15 | 2015-05-16 |
| 7 | FULBRIGHT FUTURES LIMITED | Rep | Dealing in futures contracts | 2011-08-10 | 2015-05-16 |
| 8 | FULBRIGHT SECURITIES LIMITED | Rep | Dealing in securities | 2011-02-18 | 2013-03-11 | RO | Dealing in securities | 2013-03-11 | 2015-05-16 | Rep | Advising on securities | 2015-04-15 | 2015-05-16 |
| 9 | GOLDEN GREAT CHINA FUND MANAGEMENT LIMITED | Rep | Advising on securities | 2016-01-11 | 2016-03-04 | Rep | Asset management | 2016-01-11 | 2016-03-04 | RO | Advising on securities | 2016-03-04 | 2016-05-31 | RO | Asset management | 2016-03-04 | 2016-05-31 |
| 10 | Pearl International Securities Limited | Rep | Advising on securities | 2023-05-29 | 2023-06-30 | Rep | Asset management | 2023-05-29 | 2023-06-30 | Rep | Dealing in securities | 2023-05-29 | 2023-06-30 | RO | Advising on securities | 2023-06-30 | RO | Asset management | 2023-06-30 | RO | Dealing in securities | 2023-06-30 |
| 11 | UPBEST SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2007-10-04 | 2011-02-09 |
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