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SO Siu Lam, Simon

蘇兆霖
CE AGJ086Licensed IndividualSFO licence active
Official SFC record

SO Siu Lam, Simon (CE number AGJ086) 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 3 (Leveraged FX), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 6 (Corporate finance), Type 7 (Automated trading), Type 9 (Asset management).

Regulated Activities (on record) (8)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 3 Leveraged Foreign Exchange Trading
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 6 Advising on Corporate Finance
RA 7 Providing Automated Trading Services
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
RepresentativeChina Merchants Futures (HK) Co., Limited
招商期貨(香港)有限公司
RepresentativeChina Merchants Securities (HK) Co., Limited
招商證券(香港)有限公司

Licence Record (4)

2021-04-27 – present Current
China Merchants Securities (HK) Co., Limited Rep
RA 1
2021-04-27 – present Current
China Merchants Futures (HK) Co., Limited Rep
RA 2
2003-04-01 – 2021-04-14
Haitong International Securities Company Limited Rep
RA 1 RA 3 RA 4 RA 6 RA 7 RA 9
2003-04-01 – 2021-04-14
Haitong International Futures Limited Rep
RA 2 RA 5 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/AGJ086