Charles Wing Chung Lam
林穎聰
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Wing Chung Lam (林穎聰), a licensed Responsible Officer with CE reference AEW033. Currently licensed at 1 firm(s): Citigroup Global Markets Asia Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 7 — Providing automated trading services. Total licence records on file: 10.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Providing automated trading services →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 7 — Providing automated trading services | 2022-09-06 | present |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2019-03-07 | present |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 2 — Dealing in futures contracts | 2019-03-07 | present |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-05-31 | 2019-03-07 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2003-08-08 | 2013-08-31 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2019-03-07 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-06-25 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-06-25 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-06-25 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2003-06-25 |