Kate Hiu Ha Lam
林曉霞
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kate Hiu Ha Lam (林曉霞), a licensed former licensee with CE reference ABG384. Total licence records on file: 30.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Planetree Securities Limited 梧桐證券有限公司 |
RO | Type 1 — Dealing in securities | 2023-03-22 | 2024-04-22 |
| Planetree Futures Limited 梧桐期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2023-03-22 | 2024-04-22 |
| Planetree Securities Limited 梧桐證券有限公司 |
Rep | Type 1 — Dealing in securities | 2023-02-01 | 2023-03-22 |
| Planetree Futures Limited 梧桐期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2023-02-01 | 2023-03-22 |
| Nerico Brothers Limited | RO | Type 1 — Dealing in securities | 2017-11-02 | 2022-05-05 |
| Nerico Brothers Limited | RO | Type 2 — Dealing in futures contracts | 2017-11-02 | 2022-05-05 |
| Nerico Brothers Limited | Rep | Type 1 — Dealing in securities | 2017-09-13 | 2017-11-02 |
| Nerico Brothers Limited | Rep | Type 2 — Dealing in futures contracts | 2017-09-13 | 2017-11-02 |
| China Finance Holdings Limited 中港金融證券有限公司 |
RO | Type 1 — Dealing in securities | 2015-06-04 | 2016-11-04 |
| Finet Securities Limited 財華證券有限公司 |
RO | Type 1 — Dealing in securities | 2015-06-04 | 2016-11-04 |
| Finet Securities Limited 財華證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2015-06-04 | 2016-11-04 |
| China Finance Holdings Limited 中港金融證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-05-26 | 2015-06-04 |
| Finet Securities Limited 財華證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-05-26 | 2015-06-04 |
| Finet Securities Limited 財華證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-05-26 | 2015-06-04 |
| BERKSHIRE CAPITALS LIMITED 伯克希爾資本有限公司 |
RO | Type 1 — Dealing in securities | 2014-08-07 | 2015-05-15 |
| BERKSHIRE CAPITALS LIMITED 伯克希爾資本有限公司 |
RO | Type 2 — Dealing in futures contracts | 2014-08-07 | 2015-05-15 |
| BERKSHIRE CAPITALS LIMITED 伯克希爾資本有限公司 |
Rep | Type 1 — Dealing in securities | 2014-07-25 | 2014-08-07 |
| BERKSHIRE CAPITALS LIMITED 伯克希爾資本有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-07-25 | 2014-08-07 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-10-21 | 2014-07-19 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 — Dealing in securities | 2004-04-16 | 2014-07-19 |
| Quam Futures Limited 華富嘉洛期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-04-16 | 2006-01-31 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 1 — Dealing in securities | 2003-10-22 | 2004-03-31 |
| Karl-Thomson Commodities Company Limited 高信商品期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2003-10-22 | 2004-03-31 |
| ASG Brokerage Limited 亞洲環球證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-10-22 |
| ASG Futures Limited 亞洲環球期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2003-10-22 |
| ASG Brokerage Limited 亞洲環球證券經紀有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-09-04 |
| ASG Futures Limited 亞洲環球期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-09-04 |
| ASG Brokerage Limited 亞洲環球證券經紀有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-09-04 |
| ASG Brokerage Limited 亞洲環球證券經紀有限公司 |
Rep | Type 9 — Asset management | present | 2003-09-04 |
| ASG Futures Limited 亞洲環球期貨有限公司 |
Rep | Type 9 — Asset management | present | 2003-09-04 |