Sze Man Lam
林思敏
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sze Man Lam (林思敏), a licensed Representative with CE reference AXT415. Currently licensed at 2 firm(s): Prudential Brokerage Limited, Prudential Index Trading Company Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 1 — Dealing in securities | 2022-08-10 | present |
| Prudential Index Trading Company Limited 信誠期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2022-08-10 | present |
| OCBC Securities Brokerage (Hong Kong) Limited 華僑證券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2022-03-10 | 2022-05-29 |
| OCBC Futures Investment (Hong Kong) Limited 華僑期貨投資(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2022-03-10 | 2022-05-29 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 4 — Advising on securities | 2019-10-22 | 2021-12-01 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 1 — Dealing in securities | 2019-09-10 | 2021-12-01 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2019-09-10 | 2021-12-01 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-09-24 | 2019-08-25 |
| RHB Futures Hong Kong Limited 興業金融期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2018-09-24 | 2019-08-25 |
| Shanxi Securities International Futures Limited 山證國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-12-19 | 2018-09-09 |
| Shanxi Securities International Limited 山證國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2016-11-17 | 2018-09-09 |
| Shanxi Securities International Financial Holdings Limited 山證國際金融控股有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-11-17 | 2017-03-31 |
| Holly International Financial Holdings Limited 弘業國際金融控股有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-09-23 | 2014-07-02 |
| South China Securities Limited 南華證券投資有限公司 |
Rep | Type 1 — Dealing in securities | 2012-04-26 | 2013-09-06 |
| South China Commodities Limited 南華期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-04-26 | 2013-09-06 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-08-08 | 2012-04-06 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-08-08 | 2012-04-06 |