Lum, Sam Pak Sum 林柏森
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 | Asia Joyful Limited | RO | Asset management | 2016-09-20 | RO | Advising on securities | 2020-01-31 |
2 | CHI SHUN LIMITED | RO | Asset management | 2014-10-29 | 2015-12-01 |
3 | CHINA RICH ASSET MANAGEMENT LIMITED | Rep | Asset management | 2004-09-14 | 2004-10-14 | Rep | Advising on securities | 2004-09-14 | 2006-03-29 | RO | Asset management | 2004-10-14 | 2009-01-10 | RO | Advising on securities | 2006-03-29 | 2009-01-10 |
4 | DRAKE & MORGAN LIMITED (HK) | RO | Dealing in securities | 2005-04-12 | 2008-10-18 |
5 | FIRST SECURITIES (HK) LIMITED | Rep | Advising on corporate finance | 2003-12-09 | Rep | Advising on securities | 2003-12-09 | Rep | Asset management | 2003-12-09 | Rep | Dealing in securities | 2003-12-09 | RO | Advising on corporate finance | 2003-12-09 | 2004-09-02 | RO | Advising on securities | 2003-12-09 | 2004-09-02 | RO | Asset management | 2003-12-09 | 2004-09-02 | RO | Dealing in securities | 2003-12-09 | 2004-09-02 |
6 | RaffAello Capital Limited | RO | Advising on corporate finance | 2012-07-05 | 2016-09-08 |
7 | REXCAPITAL (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2004-09-14 | 2004-10-14 | RO | Advising on corporate finance | 2004-10-14 | 2009-01-10 |
8 | REXCAPITAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2007-01-17 | 2007-12-01 |
9 | SPDB International Holdings Limited | Rep | Advising on corporate finance | 2009-07-02 | 2009-09-18 | Rep | Asset management | 2009-07-02 | 2012-06-27 | RO | Advising on corporate finance | 2009-09-18 | 2012-06-27 |
10 | WINGS SECURITIES (HK) LIMITED | Rep | Dealing in securities | 2004-09-14 | 2006-12-29 |
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