Lam, Siu Hi 林少喜

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
Soochow Securities International Asset Management Limited	Rep	Asset management	2015-05-08	2016-01-08
Soochow Securities International Brokerage Limited	Rep	Advising on securities	2015-05-08	2016-01-08
	Rep	Dealing in securities	2015-05-08	2016-01-08
Bosera Asset Management (International) Co., Limited	Rep	Advising on securities	2014-03-05	2014-11-07
	Rep	Asset management	2014-03-05	2014-11-07
	Rep	Dealing in securities	2014-03-05	2014-11-07
CMS CAPITAL (HK) CO., LIMITED	RO	Advising on securities	2012-08-07	2013-09-02
	RO	Asset management	2012-08-07	2013-09-02
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Dealing in futures contracts	2005-02-15	2013-09-02
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	RO	Providing automated trading services	2003-06-21	2005-03-07
	RO	Advising on futures contracts	2003-06-21	2013-09-02
	RO	Asset management	2003-06-21	2013-09-02
	RO	Dealing in futures contracts	2003-06-21	2013-09-02
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Providing automated trading services	2003-06-21	2005-01-26
	RO	Advising on corporate finance	2003-06-21	2013-09-02
	RO	Advising on securities	2003-06-21	2013-09-02
	RO	Asset management	2003-06-21	2013-09-02
	RO	Dealing in securities	2003-06-21	2013-09-02
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Advising on futures contracts	-	2003-06-21
	Rep	Asset management	-	2003-06-21
	Rep	Providing automated trading services	-	2003-06-21
	Rep	Dealing in futures contracts	-	2003-06-21
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on corporate finance	-	2003-06-21
	Rep	Advising on securities	-	2003-06-21
	Rep	Asset management	-	2003-06-21
	Rep	Providing automated trading services	-	2003-06-21
	Rep	Dealing in securities	-	2003-06-21

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
Soochow Securities International Asset Management Limited	Rep	Asset management	2015-05-08	2016-01-08
Soochow Securities International Brokerage Limited	Rep	Advising on securities	2015-05-08	2016-01-08
	Rep	Dealing in securities	2015-05-08	2016-01-08
Bosera Asset Management (International) Co., Limited	Rep	Advising on securities	2014-03-05	2014-11-07
	Rep	Asset management	2014-03-05	2014-11-07
	Rep	Dealing in securities	2014-03-05	2014-11-07
CMS CAPITAL (HK) CO., LIMITED	RO	Advising on securities	2012-08-07	2013-09-02
	RO	Asset management	2012-08-07	2013-09-02
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Dealing in futures contracts	2005-02-15	2013-09-02
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	RO	Providing automated trading services	2003-06-21	2005-03-07
	RO	Advising on futures contracts	2003-06-21	2013-09-02
	RO	Asset management	2003-06-21	2013-09-02
	RO	Dealing in futures contracts	2003-06-21	2013-09-02
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Providing automated trading services	2003-06-21	2005-01-26
	RO	Advising on corporate finance	2003-06-21	2013-09-02
	RO	Advising on securities	2003-06-21	2013-09-02
	RO	Asset management	2003-06-21	2013-09-02
	RO	Dealing in securities	2003-06-21	2013-09-02
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Advising on futures contracts	-	2003-06-21
	Rep	Asset management	-	2003-06-21
	Rep	Providing automated trading services	-	2003-06-21
	Rep	Dealing in futures contracts	-	2003-06-21
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on corporate finance	-	2003-06-21
	Rep	Advising on securities	-	2003-06-21
	Rep	Asset management	-	2003-06-21
	Rep	Providing automated trading services	-	2003-06-21
	Rep	Dealing in securities	-	2003-06-21