Kai Tin Lam
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kai Tin Lam (林佳典), a licensed Responsible Officer with CE reference AZH502. Currently licensed at 1 firm(s): Guosen Securities (HK) Asset Management Company Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 13.8 years of SFC licence history. Total licence records on file: 20.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guosen Securities (HK) Asset Management Company Limited 國信證券(香港)資產管理有限公司 |
RO | Type 1 - Dealing in securities | 2024-12-19 | present |
| Guosen Securities (HK) Asset Management Company Limited 國信證券(香港)資產管理有限公司 |
RO | Type 4 - Advising on securities | 2024-12-19 | present |
| Guosen Securities (HK) Asset Management Company Limited 國信證券(香港)資產管理有限公司 |
RO | Type 9 - Asset management | 2024-12-19 | present |
| Guosen Securities (HK) Asset Management Company Limited 國信證券(香港)資產管理有限公司 |
Rep | Type 1 - Dealing in securities | 2022-12-06 | 2024-12-19 |
| Guosen Securities (HK) Asset Management Company Limited 國信證券(香港)資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2022-09-20 | 2024-12-19 |
| Guosen Securities (HK) Asset Management Company Limited 國信證券(香港)資產管理有限公司 |
Rep | Type 9 - Asset management | 2022-09-20 | 2024-12-19 |
| Guoyuan Asset Management (Hong Kong) Limited 國元資產管理(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2018-05-02 | 2022-08-19 |
| Guoyuan Asset Management (Hong Kong) Limited 國元資產管理(香港)有限公司 |
Rep | Type 9 - Asset management | 2018-05-02 | 2022-08-19 |
| Guoyuan Capital (Hong Kong) Limited 國元融資(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2017-07-04 | 2018-04-06 |
| Guoyuan Capital (Hong Kong) Limited 國元融資(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2017-07-04 | 2018-04-06 |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2016-07-29 | 2017-06-30 |
| Guoyuan Futures (Hong Kong) Limited 國元期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-07-29 | 2017-06-30 |
| Fosun International Securities Limited 復星國際證券有限公司 |
Rep | Type 6 - Advising on corporate finance | 2015-08-21 | 2016-07-05 |
| Fosun International Securities Limited 復星國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2015-07-28 | 2016-07-05 |
| Fosun International Securities Limited 復星國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2015-07-28 | 2016-07-05 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2014-11-03 | 2015-06-05 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-08-29 | 2015-06-05 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-08-29 | 2015-06-05 |
| Golden Mountain Financial Limited 金山金融有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-06-04 | 2012-08-07 |
| Centaline Securities Limited 中原證券有限公司 |
Rep | Type 1 - Dealing in securities | 2012-05-07 | 2012-05-16 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Kai Tin 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.