SFC licenceholder AXI106 LAM Pok Lai, Paul 林博禮

Licences

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

Updated: 04 April 2020

Institution Role Licences Start date End date
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RE [2] (Dealing in Futures Contracts) 11 October 2016
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [1] (Dealing in Securities), [9] (Asset Management) 07 October 2015
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RE [2] (Dealing in Futures Contracts) 07 October 2015 10 October 2016
Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 RE [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts), [9] (Asset Management) 11 June 2015 18 September 2015
Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 RE [1] (Dealing in Securities) 19 March 2015 18 September 2015
Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 24 May 2011 01 November 2014