Chi Ping Lam
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chi Ping Lam (林治平), a licensed Responsible Officer with CE reference AOY505. Currently licensed at 1 firm(s): Northern Trust Company of Hong Kong Limited, The. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities; Type 9 - Asset management. This person has 18.7 years of SFC licence history. Total licence records on file: 13.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Northern Trust Company of Hong Kong Limited, The | RO | Type 2 - Dealing in futures contracts | 2024-08-07 | present |
| Northern Trust Company of Hong Kong Limited, The | RO | Type 9 - Asset management | 2022-10-25 | present |
| Northern Trust Company of Hong Kong Limited, The | RO | Type 4 - Advising on securities | 2017-08-22 | present |
| Northern Trust Company of Hong Kong Limited, The | RO | Type 1 - Dealing in securities | 2016-07-07 | present |
| Northern Trust Company of Hong Kong Limited, The | Rep | Type 2 - Dealing in futures contracts | 2022-10-25 | 2024-08-07 |
| Northern Trust Company of Hong Kong Limited, The | Rep | Type 1 - Dealing in securities | 2014-07-09 | 2016-07-07 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2013-02-01 | 2014-05-22 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2008-10-29 | 2014-05-22 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 9 - Asset management | 2008-10-29 | 2014-05-22 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2007-11-05 | 2008-10-09 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2007-11-05 | 2008-10-09 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 9 - Asset management | 2007-11-05 | 2008-10-09 |
| Brown Brothers Harriman (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2007-07-16 | 2007-09-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Chi 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.