Tat Shing Lam
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tat Shing Lam (林達誠), a licensed Responsible Officer with CE reference AUV992. Currently licensed at 2 firm(s): Guotai Junan Securities (Hong Kong) Limited, Guotai Junan FX Limited. Active regulated activities: Type 1 - Dealing in securities; Type 3 - Leveraged foreign exchange trading; Type 4 - Advising on securities. This person has 13.3 years of SFC licence history. Total licence records on file: 6.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2024-02-02 | present |
| Guotai Junan FX Limited 國泰君安外匯有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2021-09-09 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2019-08-05 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2013-09-30 | 2024-02-02 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2010-03-04 | 2010-08-21 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-03-04 | 2010-08-21 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Tat Shing 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.