Lam, Yu On 林裕安

Key Data Licences & registrations 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
SW Capital Management Limited	RO	Dealing in securities	2024-08-13	-
	RO	Advising on securities	2022-04-14	-
	RO	Asset management	2022-04-14	-
WELL KING ASSET MANAGEMENT LIMITED	RO	Advising on securities	2021-01-15	2021-04-09
	RO	Asset management	2021-01-15	2021-04-09
	Rep	Advising on securities	2020-12-18	2021-01-15
	Rep	Asset management	2020-12-18	2021-01-15
RESOCORE ASSET MANAGEMENT LIMITED	RO	Advising on securities	2017-06-09	2019-08-21
	RO	Asset management	2017-06-09	2019-08-21
	RO	Dealing in securities	2017-06-09	2019-08-21
Seazen Resources Futures Limited	Rep	Dealing in futures contracts	2017-06-09	2019-08-21
GETTA ASSET MANAGEMENT LIMITED	RO	Advising on securities	2016-05-05	2017-05-31
	RO	Asset management	2016-05-05	2017-05-31
GETTA SECURITIES LIMITED	Rep	Dealing in futures contracts	2015-04-08	2017-05-31
	Rep	Dealing in securities	2015-04-08	2017-05-31
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2008-03-20	2013-12-12
CES International Commodities (HK) Limited	Rep	Dealing in futures contracts	2005-02-04	2013-12-12
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2005-02-04	2013-12-12
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2004-03-16	2005-01-15
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2004-03-16	2005-01-15
PRUDENTIAL BROKERAGE LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-02-27
	Rep	Advising on securities	2003-04-01	2004-02-27
	Rep	Asset management	2003-04-01	2004-02-27
	Rep	Providing automated trading services	2003-04-01	2004-02-27
	Rep	Dealing in securities	2003-04-01	2004-02-27
PRUDENTIAL INDEX TRADING COMPANY LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-02-27
	Rep	Asset management	2003-04-01	2004-02-27
	Rep	Dealing in futures contracts	2003-04-01	2004-02-27

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.