Ka Wai (SFC:AIJ824) Lam
林嘉蕙
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Wai (SFC:AIJ824) Lam (林嘉蕙), a licensed former licensee with CE reference AIJ824. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2016-01-29 | 2020-04-17 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2016-01-29 | 2020-04-17 |
| BCT Financial Limited 銀聯金融有限公司 |
Rep | Type 4 — Advising on securities | 2011-07-06 | 2012-11-10 |
| BCT Financial Limited 銀聯金融有限公司 |
Rep | Type 1 — Dealing in securities | 2011-06-07 | 2012-11-10 |
| Northern Trust Company of Hong Kong Limited, The | Rep | Type 1 — Dealing in securities | 2008-04-07 | 2010-11-19 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2006-02-20 | 2006-06-23 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2006-02-20 | 2006-06-23 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2006-02-20 | 2006-06-23 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-05-12 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-05-12 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-05-12 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 9 — Asset management | present | 2003-05-12 |