Pak Sum Lum
林柏森
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Pak Sum Lum (林柏森), a licensed Responsible Officer with CE reference ACV231. Currently licensed at 1 firm(s): Asia Joyful Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 24.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Asia Joyful Limited 亞洲喜盈有限公司 |
RO | Type 4 — Advising on securities | 2020-01-31 | present |
| Asia Joyful Limited 亞洲喜盈有限公司 |
RO | Type 9 — Asset management | 2016-09-20 | present |
| RaffAello Asset Management (HK) Limited | RO | Type 9 — Asset management | 2014-10-29 | 2015-12-01 |
| RaffAello Capital Limited | RO | Type 6 — Advising on corporate finance | 2012-07-05 | 2016-09-08 |
| SPDB International Holdings Limited 浦銀國際控股有限公司 |
RO | Type 6 — Advising on corporate finance | 2009-09-18 | 2012-06-27 |
| SPDB International Holdings Limited 浦銀國際控股有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-07-02 | 2009-09-18 |
| SPDB International Holdings Limited 浦銀國際控股有限公司 |
Rep | Type 9 — Asset management | 2009-07-02 | 2012-06-27 |
| REXCAPITAL Futures Limited 御泰期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-01-17 | 2007-12-01 |
| China Rich Asset Management Limited 中國薈智資產管理有限公司 |
RO | Type 4 — Advising on securities | 2006-03-29 | 2009-01-10 |
| Drake & Morgan Limited |
RO | Type 1 — Dealing in securities | 2005-04-12 | 2008-10-18 |
| REXCAPITAL (Hong Kong) Limited 御泰融資(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2004-10-14 | 2009-01-10 |
| China Rich Asset Management Limited 中國薈智資產管理有限公司 |
RO | Type 9 — Asset management | 2004-10-14 | 2009-01-10 |
| Wings Securities (HK) Limited 金鵬證券有限公司 |
Rep | Type 1 — Dealing in securities | 2004-09-14 | 2006-12-29 |
| China Rich Asset Management Limited 中國薈智資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2004-09-14 | 2006-03-29 |
| REXCAPITAL (Hong Kong) Limited 御泰融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2004-09-14 | 2004-10-14 |
| China Rich Asset Management Limited 中國薈智資產管理有限公司 |
Rep | Type 9 — Asset management | 2004-09-14 | 2004-10-14 |
| First Securities (HK) Limited 第一證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2003-12-09 | 2004-09-02 |
| First Securities (HK) Limited 第一證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2003-12-09 | 2004-09-02 |
| First Securities (HK) Limited 第一證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2003-12-09 | 2004-09-02 |
| First Securities (HK) Limited 第一證券(香港)有限公司 |
RO | Type 9 — Asset management | 2003-12-09 | 2004-09-02 |
| First Securities (HK) Limited 第一證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-12-09 |
| First Securities (HK) Limited 第一證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-12-09 |
| First Securities (HK) Limited 第一證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-12-09 |
| First Securities (HK) Limited 第一證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-12-09 |