Ronald Shu Lok Lam
林樹樂
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ronald Shu Lok Lam (林樹樂), a licensed Representative with CE reference ADH204. Currently licensed at 2 firm(s): Shenwan Hongyuan Securities (H.K.) Limited, Shenwan Hongyuan Futures (H.K.) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2005-07-19 | present |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-07-19 | present |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-06-10 | 2005-07-14 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2003-07-24 | 2004-06-10 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2005-07-14 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2003-07-24 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-07-14 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-06-25 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2004-03-11 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2005-07-14 |