Ka Wai Lam
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Wai Lam (林家威), a licensed Responsible Officer with CE reference BDM257. Currently licensed at 2 firm(s): WRise Prestige Securities Limited, WRise Prestige Asset Management Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 11.7 years of SFC licence history. Total licence records on file: 16.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| WRise Prestige Securities Limited 昇世匯盈證券有限公司 |
RO | Type 1 - Dealing in securities | 2025-11-13 | present |
| WRise Prestige Asset Management Limited 昇世匯盈資產管理有限公司 |
RO | Type 4 - Advising on securities | 2025-11-13 | present |
| WRise Prestige Asset Management Limited 昇世匯盈資產管理有限公司 |
RO | Type 9 - Asset management | 2025-11-13 | present |
| WRise Prestige Securities Limited 昇世匯盈證券有限公司 |
Rep | Type 1 - Dealing in securities | 2025-07-10 | 2025-11-13 |
| WRise Prestige Asset Management Limited 昇世匯盈資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2025-07-10 | 2025-11-13 |
| WRise Prestige Asset Management Limited 昇世匯盈資產管理有限公司 |
Rep | Type 9 - Asset management | 2025-07-10 | 2025-11-13 |
| uSmart Securities Limited 盈立證券有限公司 |
Rep | Type 1 - Dealing in securities | 2024-12-04 | 2025-07-01 |
| uSmart Securities Limited 盈立證券有限公司 |
Rep | Type 4 - Advising on securities | 2024-12-04 | 2025-07-01 |
| uSmart Securities Limited 盈立證券有限公司 |
Rep | Type 9 - Asset management | 2024-12-04 | 2025-07-01 |
| Fulbright Asset Management Limited 富昌資產管理有限公司 |
Rep | Type 9 - Asset management | 2017-11-27 | 2024-07-19 |
| Fulbright Securities Limited 富昌證券有限公司 |
Rep | Type 4 - Advising on securities | 2016-07-08 | 2024-07-19 |
| Fulbright Futures Limited 富昌期貨有限公司 |
Rep | Type 5 - Advising on futures contracts | 2016-07-08 | 2024-07-19 |
| Fulbright Securities Limited 富昌證券有限公司 |
Rep | Type 1 - Dealing in securities | 2016-04-18 | 2024-07-19 |
| Fulbright Futures Limited 富昌期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-04-18 | 2024-07-19 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 1 - Dealing in securities | 2014-05-23 | 2016-04-08 |
| Duncan Futures Limited 鄧肯期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2014-05-23 | 2016-04-08 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ka Wai 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.