Chi Ping Lam
林治平
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chi Ping Lam (林治平), a licensed Responsible Officer with CE reference AOY505. Currently licensed at 1 firm(s): Northern Trust Company of Hong Kong Limited, The. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 13.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Northern Trust Company of Hong Kong Limited, The | RO | Type 2 — Dealing in futures contracts | 2024-08-07 | present |
| Northern Trust Company of Hong Kong Limited, The | RO | Type 9 — Asset management | 2022-10-25 | present |
| Northern Trust Company of Hong Kong Limited, The | RO | Type 4 — Advising on securities | 2017-08-22 | present |
| Northern Trust Company of Hong Kong Limited, The | RO | Type 1 — Dealing in securities | 2016-07-07 | present |
| Northern Trust Company of Hong Kong Limited, The | Rep | Type 2 — Dealing in futures contracts | 2022-10-25 | 2024-08-07 |
| Northern Trust Company of Hong Kong Limited, The | Rep | Type 1 — Dealing in securities | 2014-07-09 | 2016-07-07 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2013-02-01 | 2014-05-22 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2008-10-29 | 2014-05-22 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2008-10-29 | 2014-05-22 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-11-05 | 2008-10-09 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2007-11-05 | 2008-10-09 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 9 — Asset management | 2007-11-05 | 2008-10-09 |
| Brown Brothers Harriman (Hong Kong) Limited |
Rep | Type 1 — Dealing in securities | 2007-07-16 | 2007-09-01 |