Sau Tung Lam
林壽彤
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sau Tung Lam (林壽彤), a licensed Responsible Officer with CE reference APS739. Currently licensed at 1 firm(s): ASCENDANT SECURITIES (HK) LIMITED. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 38.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| ASCENDANT SECURITIES (HK) LIMITED 景昇證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2025-10-10 | present |
| ASCENDANT SECURITIES (HK) LIMITED 景昇證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2025-02-07 | present |
| ASCENDANT SECURITIES (HK) LIMITED 景昇證券(香港)有限公司 |
RO | Type 9 — Asset management | 2025-02-07 | present |
| ASCENDANT SECURITIES (HK) LIMITED 景昇證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2025-02-03 | 2025-02-07 |
| ASCENDANT SECURITIES (HK) LIMITED 景昇證券(香港)有限公司 |
Rep | Type 9 — Asset management | 2025-02-03 | 2025-02-07 |
| Pearl International Securities Limited 尚源國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2023-06-30 | 2024-09-30 |
| Pearl International Securities Limited 尚源國際證券有限公司 |
RO | Type 4 — Advising on securities | 2023-06-30 | 2024-09-30 |
| Pearl International Securities Limited 尚源國際證券有限公司 |
RO | Type 9 — Asset management | 2023-06-30 | 2024-09-30 |
| Pearl International Securities Limited 尚源國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2023-05-29 | 2023-06-30 |
| Pearl International Securities Limited 尚源國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2023-05-29 | 2023-06-30 |
| Pearl International Securities Limited 尚源國際證券有限公司 |
Rep | Type 9 — Asset management | 2023-05-29 | 2023-06-30 |
| CMBC Asset Management Company Limited 民銀資產管理有限公司 |
RO | Type 9 — Asset management | 2017-08-17 | 2021-07-28 |
| CMBC International Futures Company Limited 民銀國際期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2017-07-19 | 2021-07-28 |
| CMBC Securities Company Limited 民銀證券有限公司 |
RO | Type 1 — Dealing in securities | 2017-07-05 | 2021-07-28 |
| CMBC Securities Company Limited 民銀證券有限公司 |
RO | Type 4 — Advising on securities | 2017-07-05 | 2021-07-28 |
| CMBC Securities Company Limited 民銀證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-06-15 | 2017-07-05 |
| CMBC Securities Company Limited 民銀證券有限公司 |
Rep | Type 4 — Advising on securities | 2017-06-15 | 2017-07-05 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2016-09-06 | 2017-05-29 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2016-09-06 | 2017-05-29 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2016-09-06 | 2017-05-29 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
RO | Type 9 — Asset management | 2016-09-06 | 2017-05-29 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2016-08-23 | 2016-09-06 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-08-23 | 2016-09-06 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2016-08-23 | 2016-09-06 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 9 — Asset management | 2016-08-23 | 2016-09-06 |
| Golden Great China Fund Management Limited 金中華基金管理有限公司 |
RO | Type 4 — Advising on securities | 2016-03-04 | 2016-05-31 |
| Golden Great China Fund Management Limited 金中華基金管理有限公司 |
RO | Type 9 — Asset management | 2016-03-04 | 2016-05-31 |
| Golden Great China Fund Management Limited 金中華基金管理有限公司 |
Rep | Type 4 — Advising on securities | 2016-01-11 | 2016-03-04 |
| Golden Great China Fund Management Limited 金中華基金管理有限公司 |
Rep | Type 9 — Asset management | 2016-01-11 | 2016-03-04 |
| China Hanya Asset Management Limited 中國瀚亞資產管理有限公司 |
RO | Type 4 — Advising on securities | 2015-12-02 | 2016-01-08 |
| China Hanya Asset Management Limited 中國瀚亞資產管理有限公司 |
RO | Type 9 — Asset management | 2015-12-02 | 2016-01-08 |
| Fulbright Securities Limited 富昌證券有限公司 |
Rep | Type 4 — Advising on securities | 2015-04-15 | 2015-05-16 |
| Fulbright Asset Management Limited 富昌資產管理有限公司 |
RO | Type 9 — Asset management | 2015-04-15 | 2015-05-16 |
| Fulbright Asset Management Limited 富昌資產管理有限公司 |
Rep | Type 9 — Asset management | 2013-03-11 | 2015-04-15 |
| Fulbright Securities Limited 富昌證券有限公司 |
RO | Type 1 — Dealing in securities | 2013-03-11 | 2015-05-16 |
| Fulbright Futures Limited 富昌期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-08-10 | 2015-05-16 |
| Fulbright Securities Limited 富昌證券有限公司 |
Rep | Type 1 — Dealing in securities | 2011-02-18 | 2013-03-11 |
| Upbest Securities Company Limited 美建證券有限公司 |
Rep | Type 1 — Dealing in securities | 2007-10-04 | 2011-02-09 |