SFC Licences of LAM Choi Ying, Mandy 林賽盈
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| RHB Futures Hong Kong Limited 興業金融期貨有限公司 | RO | 2 | 24 September 2009 | 31 August 2011 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 | RO | 1 | 24 September 2009 | 31 August 2011 |
| RHB Asset Management Limited 興業金融資產管理有限公司 | RE | 9 | 24 September 2009 | 13 January 2011 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 | RE | 4 | 09 March 2009 | 31 August 2011 |
| RHB Futures Hong Kong Limited 興業金融期貨有限公司 | RE | 2 | 09 March 2009 | 24 September 2009 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 | RE | 1 | 09 March 2009 | 24 September 2009 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 | RE | 4 | 30 April 2004 | 01 February 2009 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 | RE | 1 | 30 April 2004 | 01 February 2009 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 | RE | 2 | 01 April 2003 | 01 February 2009 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 | RE | 5 | 01 April 2003 | 26 February 2004 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 | RE | 9 | 01 April 2003 | 26 February 2004 |