Charles Fat Lam
林發
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Fat Lam (林發), a licensed former licensee with CE reference AGQ583. This person has 13.8 years of SFC licence history. Total licence records on file: 20.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Wealth Link Securities Limited 富滙證券有限公司 |
RO | Type 4 - Advising on securities | 2017-04-06 | 2021-06-30 |
| Wealth Link Securities Limited 富滙證券有限公司 |
RO | Type 1 - Dealing in securities | 2017-01-09 | 2021-06-30 |
| Wealth Link Securities Limited 富滙證券有限公司 |
Rep | Type 1 - Dealing in securities | 2016-12-20 | 2017-01-09 |
| Mango Financial Limited 芒果金融有限公司 |
Rep | Type 6 - Advising on corporate finance | 2016-04-19 | 2016-11-01 |
| Mango Financial Limited 芒果金融有限公司 |
Rep | Type 9 - Asset management | 2015-07-20 | 2016-11-01 |
| Mango Financial Limited 芒果金融有限公司 |
RO | Type 4 - Advising on securities | 2015-07-20 | 2016-11-01 |
| Mango Financial Limited 芒果金融有限公司 |
RO | Type 1 - Dealing in securities | 2015-05-20 | 2016-11-01 |
| Mango Financial Limited 芒果金融有限公司 |
Rep | Type 1 - Dealing in securities | 2015-05-04 | 2015-05-20 |
| China Finance Holdings Limited 中港金融證券有限公司 |
RO | Type 1 - Dealing in securities | 2014-10-30 | 2015-04-30 |
| Finet Securities Limited 財華證券有限公司 |
RO | Type 1 - Dealing in securities | 2014-10-30 | 2015-04-30 |
| Finet Securities Limited 財華證券有限公司 |
RO | Type 2 - Dealing in futures contracts | 2014-10-30 | 2015-04-30 |
| Berich Brokerage Limited 百裕證券有限公司 |
RO | Type 1 - Dealing in securities | 2010-11-22 | 2014-10-20 |
| Berich Futures (H.K.) Company Limited 百裕期貨(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2010-07-08 | 2014-10-20 |
| Berich Futures (H.K.) Company Limited 百裕期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-12-04 | 2010-07-08 |
| Berich Brokerage Limited 百裕證券有限公司 |
Rep | Type 1 - Dealing in securities | 2007-08-29 | 2010-11-22 |
| East Asia Securities Company Limited 東亞證券有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-06-01 |
| East Asia Securities Company Limited 東亞證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-06-01 |
| East Asia Securities Company Limited 東亞證券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-06-01 |
| East Asia Securities Company Limited 東亞證券有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-06-01 |
| East Asia Securities Company Limited 東亞證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-06-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Charles Fat Lam during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.