Lam, Wai Ming (SFC:AHA267) 林慧明
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2009-03-13 | 2012-07-08 |
| 2 | CES Forex (HK) Limited | Rep | Leveraged foreign exchange trading | 2009-03-13 | 2012-07-08 |
| 3 | Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2009-03-13 | 2012-07-08 |
| 4 | HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2005-11-07 | 2007-07-20 |
| 5 | HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2005-11-07 | 2007-07-20 | Rep | Leveraged foreign exchange trading | 2006-03-14 | 2007-07-20 |
| 6 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2004-04-21 | 2005-10-21 |
| 7 | SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Advising on futures contracts | 2004-02-27 | Rep | Asset management | 2004-02-27 | Rep | Dealing in futures contracts | 2005-10-21 |
| 8 | Tung Shing Futures (Brokers) Limited | Rep | Dealing in futures contracts | 2012-08-24 | 2013-03-14 |
| 9 | Tung Shing Securities (Brokers) Limited | Rep | Dealing in securities | 2012-08-24 | 2013-03-14 | Rep | Leveraged foreign exchange trading | 2012-08-24 | 2013-03-14 |
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