Shu Hon Lam
林書瀚
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shu Hon Lam (林書瀚), a licensed Representative with CE reference AWP285. Currently licensed at 3 firm(s): Guotai Junan FX Limited, Guotai Junan Securities (Hong Kong) Limited, Guotai Junan Futures (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 3 — Leveraged foreign exchange trading; Type 4 — Advising on securities; Type 5 — Advising on futures contracts. Total licence records on file: 8.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Leveraged foreign exchange trading →More firms doing Advising on securities →More firms doing Advising on futures contracts →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guotai Junan FX Limited 國泰君安外匯有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2020-06-15 | 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 | 2018-10-08 | present |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2018-10-08 | 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 | 2018-09-21 | present |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2018-09-21 | present |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2011-09-23 | 2014-11-26 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2011-01-11 | 2018-09-11 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-01-11 | 2018-09-11 |