Yu On Lam
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yu On Lam (林裕安), a licensed Responsible Officer with CE reference ABW082. Currently licensed at 1 firm(s): SW Capital Management Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 19.6 years of SFC licence history. Total licence records on file: 28.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SW Capital Management Limited 信永資本管理有限公司 |
RO | Type 1 - Dealing in securities | 2024-08-13 | present |
| SW Capital Management Limited 信永資本管理有限公司 |
RO | Type 4 - Advising on securities | 2022-04-14 | present |
| SW Capital Management Limited 信永資本管理有限公司 |
RO | Type 9 - Asset management | 2022-04-14 | present |
| Well King Asset Management Limited 華國資產管理有限公司 |
RO | Type 4 - Advising on securities | 2021-01-15 | 2021-04-09 |
| Well King Asset Management Limited 華國資產管理有限公司 |
RO | Type 9 - Asset management | 2021-01-15 | 2021-04-09 |
| Well King Asset Management Limited 華國資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2020-12-18 | 2021-01-15 |
| Well King Asset Management Limited 華國資產管理有限公司 |
Rep | Type 9 - Asset management | 2020-12-18 | 2021-01-15 |
| Seazen Resources Futures Limited 新城晉峰期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2017-06-09 | 2019-08-21 |
| Seazen Resources Asset Management Limited 新城晉峰資產管理有限公司 |
RO | Type 1 - Dealing in securities | 2017-06-09 | 2019-08-21 |
| Seazen Resources Asset Management Limited 新城晉峰資產管理有限公司 |
RO | Type 4 - Advising on securities | 2017-06-09 | 2019-08-21 |
| Seazen Resources Asset Management Limited 新城晉峰資產管理有限公司 |
RO | Type 9 - Asset management | 2017-06-09 | 2019-08-21 |
| Getta Asset Management Limited 皆得資產管理有限公司 |
RO | Type 4 - Advising on securities | 2016-05-05 | 2017-05-31 |
| Getta Asset Management Limited 皆得資產管理有限公司 |
RO | Type 9 - Asset management | 2016-05-05 | 2017-05-31 |
| Getta Securities Limited 皆得證券有限公司 |
Rep | Type 1 - Dealing in securities | 2015-04-08 | 2017-05-31 |
| Getta Securities Limited 皆得證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2015-04-08 | 2017-05-31 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-03-20 | 2013-12-12 |
| 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 | 2005-02-04 | 2013-12-12 |
| CES International Commodities (HK) Limited | Rep | Type 2 - Dealing in futures contracts | 2005-02-04 | 2013-12-12 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2004-03-16 | 2005-01-15 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2004-03-16 | 2005-01-15 |
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2004-02-27 |
| Prudential Index Trading Company Limited 信誠期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2004-02-27 |
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-02-27 |
| Prudential Index Trading Company Limited 信誠期貨有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2004-02-27 |
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-02-27 |
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2004-02-27 |
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-02-27 |
| Prudential Index Trading Company Limited 信誠期貨有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-02-27 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Yu On 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.