Mandy Choi Ying Lam
林賽盈
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Mandy Choi Ying Lam (林賽盈), a licensed former licensee with CE reference AFE592. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RHB Asset Management Limited 興業金融資產管理有限公司 |
Rep | Type 9 — Asset management | 2009-09-24 | 2011-01-13 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
RO | Type 1 — Dealing in securities | 2009-09-24 | 2011-08-31 |
| RHB Futures Hong Kong Limited 興業金融期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2009-09-24 | 2011-08-31 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-03-09 | 2009-09-24 |
| RHB Futures Hong Kong Limited 興業金融期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-03-09 | 2009-09-24 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 4 — Advising on securities | 2009-03-09 | 2011-08-31 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2004-04-30 | 2009-02-01 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2004-04-30 | 2009-02-01 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2009-02-01 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-02-26 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 9 — Asset management | present | 2004-02-26 |