Chi Yeung Lum
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chi Yeung Lum (林智洋), a licensed Responsible Officer with CE reference ASX252. Currently licensed at 2 firm(s): Plutus Securities Limited, Plutus Asset Management Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 16.2 years of SFC licence history. Total licence records on file: 13.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Plutus Securities Limited 貝德斯證券有限公司 |
RO | Type 1 - Dealing in securities | 2022-04-14 | present |
| Plutus Asset Management Limited 貝德斯資產管理有限公司 |
RO | Type 4 - Advising on securities | 2022-04-14 | present |
| Plutus Asset Management Limited 貝德斯資產管理有限公司 |
RO | Type 9 - Asset management | 2022-04-14 | present |
| Zhenro Securities Co. Limited 正榮證券有限公司 |
RO | Type 1 - Dealing in securities | 2019-09-18 | 2022-03-31 |
| Zhenro Asset Management Co. Limited 正榮資產管理有限公司 |
RO | Type 4 - Advising on securities | 2019-09-18 | 2022-03-31 |
| Zhenro Asset Management Co. Limited 正榮資產管理有限公司 |
RO | Type 9 - Asset management | 2019-09-18 | 2022-03-31 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
RO | Type 4 - Advising on securities | 2018-08-01 | 2018-09-14 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
RO | Type 1 - Dealing in securities | 2016-11-22 | 2018-09-14 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
RO | Type 2 - Dealing in futures contracts | 2016-11-22 | 2018-09-14 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
RO | Type 9 - Asset management | 2016-11-22 | 2018-09-14 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
Rep | Type 9 - Asset management | 2013-07-02 | 2016-11-22 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2009-06-18 | 2016-11-22 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
Rep | Type 1 - Dealing in securities | 2009-05-06 | 2016-11-22 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Chi Yeung Lum 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.