Tom Pak Lam Chan
陳柏楠
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tom Pak Lam Chan (陳柏楠), a licensed Responsible Officer with CE reference ACJ830. Currently licensed at 1 firm(s): Success Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Success Securities Limited 實德證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-06-26 | present |
| Success Securities Limited 實德證券有限公司 |
RO | Type 4 — Advising on securities | 2018-06-26 | present |
| Success Asset Management Limited 實德資產管理有限公司 |
RO | Type 9 — Asset management | 2013-08-29 | 2021-12-01 |
| Success Securities Limited 實德證券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-03-12 | 2016-11-01 |
| Success Futures and Foreign Exchange Limited 實德期貨及外滙有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-03-12 | 2016-11-01 |
| Success Futures and Foreign Exchange Limited 實德期貨及外滙有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2013-03-12 | 2016-11-01 |
| Success Securities Limited 實德證券有限公司 |
Rep | Type 4 — Advising on securities | 2013-03-12 | 2016-11-01 |
| Emperor Asset Management Limited 英皇資產管理有限公司 |
RO | Type 4 — Advising on securities | 2009-11-03 | 2010-06-01 |
| Emperor Asset Management Limited 英皇資產管理有限公司 |
RO | Type 9 — Asset management | 2009-11-03 | 2010-06-01 |
| Emperor International Exchange (Hong Kong) Company Limited 英皇金融集團(香港)有限公司 |
RO | Type 3 — Leveraged foreign exchange trading | 2008-03-19 | 2010-04-01 |
| Emperor Securities Limited 英皇證券有限公司 |
RO | Type 4 — Advising on securities | 2008-03-19 | 2010-06-01 |
| Emperor Futures Limited 英皇期貨有限公司 |
RO | Type 5 — Advising on futures contracts | 2008-03-19 | 2010-06-01 |
| Emperor Securities Limited 英皇證券有限公司 |
RO | Type 1 — Dealing in securities | 2007-08-28 | 2010-06-01 |
| Emperor Futures Limited 英皇期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2007-08-28 | 2010-06-01 |
| Emperor Securities Limited 英皇證券有限公司 |
Rep | Type 1 — Dealing in securities | 2005-11-17 | 2007-08-28 |
| Emperor Futures Limited 英皇期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-11-17 | 2007-08-28 |
| Emperor International Exchange (Hong Kong) Company Limited 英皇金融集團(香港)有限公司 |
RO | Type 3 — Leveraged foreign exchange trading | present | 2007-03-31 |