Tat Shing Lam
林達誠
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tat Shing Lam (林達誠), a licensed Responsible Officer with CE reference AUV992. Currently licensed at 2 firm(s): Guotai Junan Securities (Hong Kong) Limited, Guotai Junan FX Limited. Active regulated activities: Type 1 — Dealing in securities; Type 3 — Leveraged foreign exchange trading; Type 4 — Advising on securities. Total licence records on file: 6.
More firms doing Dealing in securities →More firms doing Leveraged foreign exchange trading →More firms doing Advising on securities →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2024-02-02 | present |
| Guotai Junan FX Limited 國泰君安外匯有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2021-09-09 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2019-08-05 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-09-30 | 2024-02-02 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-03-04 | 2010-08-21 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-03-04 | 2010-08-21 |