Sunming Lin
林孫明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sunming Lin (林孫明), a licensed Responsible Officer with CE reference BAQ668. Currently licensed at 1 firm(s): Glenworth Capital Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Glenworth Capital Limited | RO | Type 4 — Advising on securities | 2024-04-12 | present |
| Glenworth Capital Limited | RO | Type 9 — Asset management | 2024-04-12 | present |
| Rockpool Capital Limited 摩石資本有限公司 |
Rep | Type 1 — Dealing in securities | 2023-02-14 | 2024-01-03 |
| Rockpool Capital Limited 摩石資本有限公司 |
Rep | Type 4 — Advising on securities | 2023-02-14 | 2024-01-03 |
| Rockpool Capital Limited 摩石資本有限公司 |
Rep | Type 9 — Asset management | 2023-02-14 | 2024-01-03 |
| Rockpool Capital Limited 摩石資本有限公司 |
RO | Type 1 — Dealing in securities | 2018-07-09 | 2023-02-14 |
| Rockpool Capital Limited 摩石資本有限公司 |
RO | Type 4 — Advising on securities | 2018-07-09 | 2023-02-14 |
| Rockpool Capital Limited 摩石資本有限公司 |
RO | Type 9 — Asset management | 2018-07-09 | 2023-02-14 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-06-21 | 2014-02-27 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2012-12-24 | 2014-02-27 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 — Dealing in securities | 2012-12-24 | 2013-08-31 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2012-12-24 | 2013-08-31 |