Gilbert Shen Hriung Lam
林聖鴻
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Gilbert Shen Hriung Lam (林聖鴻), a licensed former licensee with CE reference ADZ537. Total licence records on file: 30.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2017-10-03 | 2020-12-16 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2013-09-23 | 2017-10-02 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-09-23 | 2017-10-02 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-09-23 | 2020-12-16 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2013-04-25 | 2013-09-23 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2013-03-11 | 2013-09-23 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2013-03-11 | 2013-09-23 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2012-04-24 | 2013-03-11 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-04-24 | 2013-03-11 |
| CCB International Securities Limited 建銀國際證券有限公司 |
RO | Type 4 — Advising on securities | 2006-10-19 | 2008-10-01 |
| CCB International Securities Limited 建銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2006-03-17 | 2008-10-01 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2006-01-23 | 2006-02-18 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2006-01-23 | 2006-02-18 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2006-01-23 | 2006-02-18 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2005-12-02 | 2006-01-23 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2005-12-02 | 2006-01-23 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-12-02 | 2006-01-23 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2005-12-02 | 2006-02-18 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2005-12-02 | 2006-02-18 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2005-12-02 | 2006-02-18 |
| SinoPac Futures (Asia) Limited 永豐金期貨(亞洲)有限公司 |
RO | Type 9 — Asset management | 2005-03-22 | 2005-10-06 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
RO | Type 9 — Asset management | 2005-03-22 | 2005-10-06 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
RO | Type 4 — Advising on securities | 2004-04-26 | 2005-11-22 |
| SinoPac Futures (Asia) Limited 永豐金期貨(亞洲)有限公司 |
RO | Type 5 — Advising on futures contracts | 2004-04-26 | 2005-11-22 |
| SinoPac Futures (Asia) Limited 永豐金期貨(亞洲)有限公司 |
RO | Type 9 — Asset management | 2004-04-26 | 2004-12-26 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
RO | Type 9 — Asset management | 2004-04-26 | 2004-12-26 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2004-01-28 | 2005-11-22 |
| SinoPac Futures (Asia) Limited 永豐金期貨(亞洲)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2004-01-28 | 2005-11-22 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2003-11-26 | 2003-12-22 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 1 — Dealing in securities | present | 2003-12-22 |