Charles Fat Lam
林發
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Fat Lam (林發), a licensed former licensee with CE reference AGQ583. Total licence records on file: 20.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Wealth Link Securities Limited 富滙證券有限公司 |
RO | Type 4 — Advising on securities | 2017-04-06 | 2021-06-30 |
| Wealth Link Securities Limited 富滙證券有限公司 |
RO | Type 1 — Dealing in securities | 2017-01-09 | 2021-06-30 |
| Wealth Link Securities Limited 富滙證券有限公司 |
Rep | Type 1 — Dealing in securities | 2016-12-20 | 2017-01-09 |
| Mango Financial Limited 芒果金融有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-04-19 | 2016-11-01 |
| Mango Financial Limited 芒果金融有限公司 |
Rep | Type 9 — Asset management | 2015-07-20 | 2016-11-01 |
| Mango Financial Limited 芒果金融有限公司 |
RO | Type 4 — Advising on securities | 2015-07-20 | 2016-11-01 |
| Mango Financial Limited 芒果金融有限公司 |
RO | Type 1 — Dealing in securities | 2015-05-20 | 2016-11-01 |
| Mango Financial Limited 芒果金融有限公司 |
Rep | Type 1 — Dealing in securities | 2015-05-04 | 2015-05-20 |
| China Finance Holdings Limited 中港金融證券有限公司 |
RO | Type 1 — Dealing in securities | 2014-10-30 | 2015-04-30 |
| Finet Securities Limited 財華證券有限公司 |
RO | Type 1 — Dealing in securities | 2014-10-30 | 2015-04-30 |
| Finet Securities Limited 財華證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2014-10-30 | 2015-04-30 |
| Berich Brokerage Limited 百裕證券有限公司 |
RO | Type 1 — Dealing in securities | 2010-11-22 | 2014-10-20 |
| Berich Futures (H.K.) Company Limited 百裕期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2010-07-08 | 2014-10-20 |
| Berich Futures (H.K.) Company Limited 百裕期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-12-04 | 2010-07-08 |
| Berich Brokerage Limited 百裕證券有限公司 |
Rep | Type 1 — Dealing in securities | 2007-08-29 | 2010-11-22 |
| East Asia Securities Company Limited 東亞證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-06-01 |
| East Asia Securities Company Limited 東亞證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-06-01 |
| East Asia Securities Company Limited 東亞證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-06-01 |
| East Asia Securities Company Limited 東亞證券有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-06-01 |
| East Asia Securities Company Limited 東亞證券有限公司 |
Rep | Type 9 — Asset management | present | 2003-06-01 |