Clarissa Lai Ping Lam
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Clarissa Lai Ping Lam (林麗萍), a licensed Responsible Officer with CE reference AED496. Currently licensed at 2 firm(s): Roctec Securities Company Limited, Roctec Futures Trading Company Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts. This person has 23.4 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Roctec Securities Company Limited 鷹達證券有限公司 |
RO | Type 1 - Dealing in securities | 2017-09-12 | present |
| Roctec Futures Trading Company Limited 鷹達期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2017-09-12 | present |
| Roctec Securities Company Limited 鷹達證券有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2017-09-12 |
| Roctec Futures Trading Company Limited 鷹達期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2017-09-12 |
| Roctec Securities Company Limited 鷹達證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2005-03-07 |
| Roctec Futures Trading Company Limited 鷹達期貨有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2005-03-07 |
| Roctec Securities Company Limited 鷹達證券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2005-03-07 |
| Roctec Futures Trading Company Limited 鷹達期貨有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2005-03-07 |
| Roctec Securities Company Limited 鷹達證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2005-03-07 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Clarissa Lai Ping 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.