SFC Licences of LAM Hiu Ha, Kate 林曉霞
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Planetree Futures Limited 梧桐期貨有限公司 | RO | 2 | 22 March 2023 | 22 April 2024 |
| Planetree Securities Limited 梧桐證券有限公司 | RO | 1 | 22 March 2023 | 22 April 2024 |
| Planetree Futures Limited 梧桐期貨有限公司 | RE | 2 | 01 February 2023 | 22 March 2023 |
| Planetree Securities Limited 梧桐證券有限公司 | RE | 1 | 01 February 2023 | 22 March 2023 |
| Nerico Brothers Limited | RO | 2 | 02 November 2017 | 05 May 2022 |
| Nerico Brothers Limited | RO | 1 | 02 November 2017 | 05 May 2022 |
| Nerico Brothers Limited | RE | 2 | 13 September 2017 | 02 November 2017 |
| Nerico Brothers Limited | RE | 1 | 13 September 2017 | 02 November 2017 |
| China Finance Holdings Limited 中港金融證券有限公司 | RO | 1 | 04 June 2015 | 04 November 2016 |
| Finet Securities Limited 財華證券有限公司 | RO | 2 | 04 June 2015 | 04 November 2016 |
| Finet Securities Limited 財華證券有限公司 | RO | 1 | 04 June 2015 | 04 November 2016 |
| China Finance Holdings Limited 中港金融證券有限公司 | RE | 1 | 26 May 2015 | 04 June 2015 |
| Finet Securities Limited 財華證券有限公司 | RE | 2 | 26 May 2015 | 04 June 2015 |
| Finet Securities Limited 財華證券有限公司 | RE | 1 | 26 May 2015 | 04 June 2015 |
| Ruisen Port Securities Limited 瑞森港通證券有限公司 | RO | 2 | 07 August 2014 | 15 May 2015 |
| Ruisen Port Securities Limited 瑞森港通證券有限公司 | RO | 1 | 07 August 2014 | 15 May 2015 |
| Ruisen Port Securities Limited 瑞森港通證券有限公司 | RE | 2 | 25 July 2014 | 07 August 2014 |
| Ruisen Port Securities Limited 瑞森港通證券有限公司 | RE | 1 | 25 July 2014 | 07 August 2014 |
| Quam Securities Limited 華富建業證券有限公司 | RE | 2 | 21 October 2004 | 19 July 2014 |
| Quam Securities Limited 華富建業證券有限公司 | RE | 1 | 16 April 2004 | 19 July 2014 |
| Quam Futures Limited 華富嘉洛期貨有限公司 | RE | 2 | 16 April 2004 | 31 January 2006 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 | RE | 1 | 22 October 2003 | 31 March 2004 |
| Karl-Thomson Commodities Company Limited 高信商品期貨有限公司 | RE | 2 | 22 October 2003 | 31 March 2004 |
| ASG Futures Limited 亞洲環球期貨有限公司 | RE | 2 | 01 April 2003 | 22 October 2003 |
| ASG Brokerage Limited 亞洲環球證券經紀有限公司 | RE | 1 | 01 April 2003 | 22 October 2003 |
| ASG Brokerage Limited 亞洲環球證券經紀有限公司 | RE | 4 | 01 April 2003 | 04 September 2003 |
| ASG Brokerage Limited 亞洲環球證券經紀有限公司 | RE | 9 | 01 April 2003 | 04 September 2003 |
| ASG Futures Limited 亞洲環球期貨有限公司 | RE | 9 | 01 April 2003 | 04 September 2003 |
| ASG Futures Limited 亞洲環球期貨有限公司 | RE | 5 | 01 April 2003 | 04 September 2003 |
| ASG Brokerage Limited 亞洲環球證券經紀有限公司 | RE | 6 | 01 April 2003 | 04 September 2003 |