James Chi Lap Lam
林子立
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Chi Lap Lam (林子立), a licensed Responsible Officer with CE reference ANJ604. Currently licensed at 1 firm(s): Yuanta Securities (Hong Kong) Company Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2022-01-17 | present |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2022-01-17 | present |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2021-06-23 | 2022-01-17 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2021-06-23 | 2022-01-17 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-01-09 | 2021-06-05 |
| UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-12-03 | 2021-06-05 |
| China International Futures (Hong Kong) Company Limited 中國國際期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-02-24 | 2014-11-22 |
| Emperor Securities Limited 英皇證券有限公司 |
Rep | Type 1 — Dealing in securities | 2012-05-15 | 2014-02-05 |
| Emperor Futures Limited 英皇期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-10-09 | 2014-02-05 |
| Emperor Securities Limited 英皇證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-09-03 | 2010-08-01 |
| Masterlink Securities (Hong Kong) Corporation Limited 元富證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-06-02 | 2009-09-01 |
| Emperor Securities Limited 英皇證券有限公司 |
Rep | Type 4 — Advising on securities | 2006-12-08 | 2007-10-02 |
| Emperor Securities Limited 英皇證券有限公司 |
Rep | Type 1 — Dealing in securities | 2006-06-07 | 2007-10-02 |
| Emperor Futures Limited 英皇期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-06-07 | 2007-10-02 |