Lok Kay Lam
林樂其
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lok Kay Lam (林樂其), a licensed former licensee with CE reference AFT367. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-05-19 | 2018-09-23 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-05-19 | 2018-09-23 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2004-01-28 | 2004-10-26 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-10-26 |
| iBest Securities Company Limited | Rep | Type 1 — Dealing in securities | present | 2004-10-26 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2004-10-26 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-08-21 |
| iBest Securities Company Limited | Rep | Type 4 — Advising on securities | present | 2003-08-21 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-08-21 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-08-21 |
| iBest Securities Company Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-08-21 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-08-21 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-08-21 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 9 — Asset management | present | 2003-08-21 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 9 — Asset management | present | 2003-08-21 |
| iBest Securities Company Limited | Rep | Type 9 — Asset management | present | 2003-08-21 |