Tze Lok Lam
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tze Lok Lam (林子樂), a licensed Responsible Officer with CE reference AUC924. Currently licensed at 2 firm(s): Joy Rich Asset Management Company Limited, Joy Rich Securities Investment Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 15.9 years of SFC licence history. Total licence records on file: 12.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Joy Rich Asset Management Company Limited 凱富資產管理有限公司 |
RO | Type 9 - Asset management | 2021-02-01 | present |
| Joy Rich Securities Investment Limited 海富證券投資有限公司 |
RO | Type 4 - Advising on securities | 2019-09-12 | present |
| Joy Rich Securities Investment Limited 海富證券投資有限公司 |
Rep | Type 1 - Dealing in securities | 2019-06-05 | present |
| Nine Rivers Capital Partners Limited 浚承資本有限公司 |
RO | Type 4 - Advising on securities | 2018-02-27 | 2018-12-31 |
| Nine Rivers Capital Partners Limited 浚承資本有限公司 |
RO | Type 9 - Asset management | 2018-02-27 | 2018-12-31 |
| Nine Rivers Capital Partners Limited 浚承資本有限公司 |
Rep | Type 9 - Asset management | 2016-06-21 | 2018-02-27 |
| Nine Rivers Capital Partners Limited 浚承資本有限公司 |
Rep | Type 1 - Dealing in securities | 2015-10-20 | 2018-12-31 |
| CMBC Securities Company Limited 民銀證券有限公司 |
Rep | Type 1 - Dealing in securities | 2010-11-16 | 2015-06-26 |
| CMBC International Futures Company Limited 民銀國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-11-16 | 2015-06-26 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-11-06 | 2010-11-06 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-11-06 | 2010-11-06 |
| Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2009-11-06 | 2010-11-06 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Tze Lok 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.