SFC Licences of LAM Shu Lok, Ronald 林樹樂
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 | RE | 2 | 19 July 2005 | |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 | RE | 1 | 19 July 2005 | |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 | RE | 2 | 10 June 2004 | 14 July 2005 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 | RO | 2 | 24 July 2003 | 10 June 2004 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 | RE | 1 | 01 April 2003 | 14 July 2005 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 | RE | 4 | 01 April 2003 | 14 July 2005 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 | RE | 9 | 01 April 2003 | 14 July 2005 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 | RE | 7 | 01 April 2003 | 11 March 2004 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 | RE | 2 | 01 April 2003 | 24 July 2003 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 | RE | 6 | 01 April 2003 | 25 June 2003 |