Simon Siu Lam So
蘇兆霖
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Simon Siu Lam So (蘇兆霖), CE reference AGJ086. Currently licensed at 2 firm(s): China Merchants Securities (HK) Co., Limited, China Merchants Futures (HK) Co., Limited. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2021-04-27 | present |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2021-04-27 | present |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2004-01-29 | 2019-12-12 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2021-04-14 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2021-04-14 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-10-06 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-10-06 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-09-29 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-10-06 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-09-29 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 9 — Asset management | present | 2003-10-06 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 9 — Asset management | present | 2003-09-29 |