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LAM Shu Lok, Ronald

林樹樂
CE ADH204Licensed IndividualSFO licence active
Official SFC record

LAM Shu Lok, Ronald (CE number ADH204) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 7 (Automated trading), Type 9 (Asset management).

Regulated Activities (on record) (6)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 7 Providing Automated Trading Services
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
RepresentativeShenwan Hongyuan Futures (H.K.) Limited
申萬宏源期貨(香港)有限公司
RepresentativeShenwan Hongyuan Securities (H.K.) Limited
申萬宏源證券(香港)有限公司

Licence Record (5)

2005-07-19 – present Current
Shenwan Hongyuan Securities (H.K.) Limited Rep
RA 1
2005-07-19 – present Current
Shenwan Hongyuan Futures (H.K.) Limited Rep
RA 2
2003-07-24 – 2004-06-10
CITIC Securities Futures (HK) Limited RO
RA 2
2003-04-01 – 2005-07-14
CITIC Securities Brokerage (HK) Limited Rep
RA 1 RA 4 RA 6 RA 7 RA 9
2003-04-01 – 2005-07-14
CITIC Securities Futures (HK) Limited Rep
RA 2

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/ADH204