Ching Lok Gary Lam
林清樂
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ching Lok Gary Lam (林清樂), a licensed Responsible Officer with CE reference AOH038. Currently licensed at 1 firm(s): China Merchants Securities (HK) Co., Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 26.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2025-03-13 | present |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2024-12-18 | present |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2024-12-18 | 2025-03-13 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2021-12-30 | 2023-09-30 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2021-12-30 | 2023-09-30 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2021-05-27 | 2021-12-30 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 4 — Advising on securities | 2021-05-27 | 2021-12-30 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2021-05-27 | 2023-09-30 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2021-02-23 | 2021-05-27 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2021-02-23 | 2021-05-27 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2021-02-23 | 2021-05-27 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2019-04-25 | 2020-11-25 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2019-03-20 | 2020-11-25 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2019-03-12 | 2020-11-25 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2019-03-12 | 2019-04-25 |
| CMB International Capital Limited 招銀國際融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2016-11-24 | 2019-02-15 |
| CMB International Capital Limited 招銀國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2016-07-21 | 2019-02-15 |
| CMB International Capital Limited 招銀國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-07-21 | 2016-11-24 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 6 — Advising on corporate finance | 2014-12-22 | 2016-04-13 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 4 — Advising on securities | 2014-11-17 | 2016-04-13 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-10-20 | 2016-04-13 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-10-20 | 2014-12-22 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
RO | Type 6 — Advising on corporate finance | 2014-05-02 | 2014-08-12 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2010-07-29 | 2014-08-12 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-07-29 | 2014-05-02 |
| Haitong International Capital Limited 海通國際資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-06-22 | 2010-07-17 |