SFC Licences of TSUI Kun Lam, Ivan 徐觀林

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
Yaozhi Asset Management International Co., Limited 耀之國際資產管理有限公司 RO 9 26 September 2022
Yaozhi Asset Management International Co., Limited 耀之國際資產管理有限公司 RO 4 26 September 2022
Yaozhi Asset Management International Co., Limited 耀之國際資產管理有限公司 RE 9 20 September 2022 26 September 2022
Yaozhi Asset Management International Co., Limited 耀之國際資產管理有限公司 RE 4 20 September 2022 26 September 2022
ChaoShang Asset Management Limited 潮商資產管理有限公司 RO 9 28 January 2021 12 September 2022
ChaoShang Asset Management Limited 潮商資產管理有限公司 RO 4 28 January 2021 12 September 2022
ChaoShang Asset Management Limited 潮商資產管理有限公司 RE 9 28 December 2020 28 January 2021
ChaoShang Asset Management Limited 潮商資產管理有限公司 RE 4 28 December 2020 28 January 2021
Alpha Nova Capital Management Limited RO 9 27 July 2017 30 September 2020
Alpha Nova Capital Management Limited RO 4 27 July 2017 30 September 2020
Alpha Nova Capital Management Limited RE 9 13 June 2017 27 July 2017
Alpha Nova Capital Management Limited RE 4 13 June 2017 27 July 2017
Austen Capital Management Limited 鼎豐資產管理有限公司 RO 9 31 March 2015 31 May 2017
Austen Capital Management Limited 鼎豐資產管理有限公司 RO 4 31 March 2015 31 May 2017
Chinese Strategic Asset Management Limited 華人富通資產管理有限公司 RO 9 01 April 2014 15 March 2015
Chinese Strategic Asset Management Limited 華人富通資產管理有限公司 RO 4 01 April 2014 15 March 2015
Chinese Strategic Asset Management Limited 華人富通資產管理有限公司 RE 9 10 March 2014 01 April 2014
Chinese Strategic Asset Management Limited 華人富通資產管理有限公司 RE 4 10 March 2014 01 April 2014
ZMF Asset Management Limited 中募金融資管有限公司 RO 9 16 September 2013 28 February 2014
China Glory Securities Company Limited 華彩證券有限公司 RO 1 16 September 2013 28 February 2014
China Glory Securities Company Limited 華彩證券有限公司 RE 2 16 September 2013 28 February 2014
Glenworth Capital Limited RO 9 29 January 2013 01 February 2013
Glenworth Capital Limited RO 4 29 January 2013 01 February 2013
RE 9 15 May 2012 21 September 2012
RE 4 15 May 2012 21 September 2012
South China Commodities Limited 南華期貨有限公司 RE 2 15 May 2012 21 September 2012
South China Securities Limited 南華證券投資有限公司 RE 1 15 May 2012 21 September 2012
Quam Securities Limited 華富建業證券有限公司 RE 9 30 December 2011 25 April 2012
Quam Securities Limited 華富建業證券有限公司 RE 4 30 December 2011 25 April 2012
Quam Securities Limited 華富建業證券有限公司 RE 1 30 December 2011 25 April 2012
Quam Securities Limited 華富建業證券有限公司 RO 9 19 April 2011 30 December 2011
Quam Securities Limited 華富建業證券有限公司 RO 4 19 April 2011 30 December 2011
Quam Securities Limited 華富建業證券有限公司 RO 1 19 April 2011 30 December 2011
Quam Securities Limited 華富建業證券有限公司 RE 2 26 January 2011 25 April 2012
Quam Securities Limited 華富建業證券有限公司 RE 9 26 January 2011 19 April 2011
Quam Securities Limited 華富建業證券有限公司 RE 4 26 January 2011 19 April 2011
Quam Securities Limited 華富建業證券有限公司 RE 1 26 January 2011 19 April 2011
RHB Futures Hong Kong Limited 興業金融期貨有限公司 RE 2 09 October 2009 17 January 2011
RHB Asset Management Limited 興業金融資產管理有限公司 RO 9 26 June 2009 17 January 2011
RHB Securities Hong Kong Limited 興業金融證券有限公司 RO 4 16 December 2008 17 January 2011
RHB Securities Hong Kong Limited 興業金融證券有限公司 RO 1 16 December 2008 17 January 2011
RHB Securities Hong Kong Limited 興業金融證券有限公司 RE 4 21 October 2008 16 December 2008
RHB Securities Hong Kong Limited 興業金融證券有限公司 RE 1 21 October 2008 16 December 2008
BNP Paribas Dealing Services Asia Limited 法國巴黎金融交易服務亞洲有限公司 RO 9 27 March 2008 03 June 2008
BNP Paribas Dealing Services Asia Limited 法國巴黎金融交易服務亞洲有限公司 RO 4 27 March 2008 03 June 2008
BNP Paribas Dealing Services Asia Limited 法國巴黎金融交易服務亞洲有限公司 RO 1 27 March 2008 03 June 2008
BNP Paribas Dealing Services Asia Limited 法國巴黎金融交易服務亞洲有限公司 RE 4 04 December 2006 27 March 2008
BNP Paribas Dealing Services Asia Limited 法國巴黎金融交易服務亞洲有限公司 RE 9 21 June 2004 27 March 2008
BNP Paribas Dealing Services Asia Limited 法國巴黎金融交易服務亞洲有限公司 RE 1 21 June 2004 27 March 2008