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LAM Ka Man, Karvan

林嘉敏
CE ADQ312Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LAM Ka Man, Karvan (CE number ADQ312) 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 4 (Advising on securities), Type 6 (Corporate finance), Type 7 (Automated trading), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (5)

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

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerCantor Fitzgerald (Hong Kong) Capital Markets Limited
建達(香港)資本市場有限公司

Licence Record (6)

2016-06-06 – present Current
Cantor Fitzgerald (Hong Kong) Capital Markets Limited RO
RA 1
2005-10-26 – 2016-06-06
Cantor Fitzgerald (Hong Kong) Capital Markets Limited Rep
RA 1
2004-07-12 – 2005-08-31
Credit Agricole Securities (Asia) Limited Rep
RA 1
2004-07-12 – 2005-02-04
RBS Asia Securities (Hong Kong) Limited Rep
RA 1
2003-04-01 – 2004-06-17
ETRADE Securities (Hong Kong) Limited Rep
RA 1 RA 4 RA 6 RA 7 RA 9
2003-04-01 – 2004-06-17
ETRADE Securities Limited Rep
RA 1 RA 4 RA 6 RA 7 RA 9

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/ADQ312