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LAM Wing Chung, Charles

林穎聰
CE AEW033Licensed IndividualResponsible OfficerExecutive OfficerSFO licence active
Official SFC record

LAM Wing Chung, Charles (CE number AEW033) 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). Currently a responsible officer at 1 firm.

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 (3)

CapacityCompany / Institution
Responsible OfficerCitigroup Global Markets Asia Limited
花旗環球金融亞洲有限公司
Executive OfficerCitibank, N.A.
花旗銀行
Executive OfficerCiticorp International Limited
花旗國際有限公司

Licence Record (3)

2019-03-07 – present Current
Citigroup Global Markets Asia Limited RO
RA 1 RA 2 RA 7
2003-08-08 – 2013-08-31
Citigroup Global Markets Hong Kong Futures and Securities Limited Rep
RA 2
2003-04-01 – 2019-03-07
Citigroup Global Markets Asia Limited Rep
RA 1 RA 2 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/AEW033