SFC Licences of SO Siu Lam, Simon 蘇兆霖
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
RE | 2 | 27 April 2021 | |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RE | 1 | 27 April 2021 | |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
RE | 3 | 29 January 2004 | 12 December 2019 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
RE | 2 | 01 April 2003 | 14 April 2021 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
RE | 1 | 01 April 2003 | 14 April 2021 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
RE | 5, 7, 9 | 01 April 2003 | 06 October 2003 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
RE | 4 | 01 April 2003 | 06 October 2003 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
RE | 6, 7, 9 | 01 April 2003 | 29 September 2003 |