Ka Lam Yiu
姚家霖
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Lam Yiu (姚家霖), a licensed former licensee with CE reference APP686. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Hope Securities Limited 希望證券有限公司 |
RO | Type 4 — Advising on securities | 2019-11-28 | 2025-04-28 |
| Hope Securities Limited 希望證券有限公司 |
RO | Type 9 — Asset management | 2019-11-28 | 2025-04-28 |
| Hope Securities Limited 希望證券有限公司 |
RO | Type 1 — Dealing in securities | 2019-10-18 | 2025-04-28 |
| Hope Securities Limited 希望證券有限公司 |
Rep | Type 1 — Dealing in securities | 2019-08-06 | 2019-10-18 |
| Kai Wo Asset Management Limited 佳和資產管理有限公司 |
RO | Type 4 — Advising on securities | 2017-04-26 | 2019-06-11 |
| Kai Wo Asset Management Limited 佳和資產管理有限公司 |
RO | Type 9 — Asset management | 2017-04-26 | 2019-06-11 |
| President Securities (Hong Kong) Limited 統一證券﹝香港﹞有限公司 |
RO | Type 4 — Advising on securities | 2015-08-11 | 2017-04-13 |
| President Securities (Hong Kong) Limited 統一證券﹝香港﹞有限公司 |
Rep | Type 1 — Dealing in securities | 2014-10-14 | 2017-04-13 |
| President Securities (Hong Kong) Limited 統一證券﹝香港﹞有限公司 |
Rep | Type 4 — Advising on securities | 2014-10-14 | 2015-08-11 |
| GEO Securities Limited 智易東方證券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-09-01 | 2014-09-17 |
| GEO Securities Limited 智易東方證券有限公司 |
Rep | Type 4 — Advising on securities | 2014-09-01 | 2014-09-17 |
| President Securities (Hong Kong) Limited 統一證券﹝香港﹞有限公司 |
Rep | Type 4 — Advising on securities | 2010-01-14 | 2014-06-13 |
| President Securities (Hong Kong) Limited 統一證券﹝香港﹞有限公司 |
Rep | Type 1 — Dealing in securities | 2007-10-10 | 2014-06-13 |