Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

SUEN To Ham

孫道涵
CE APL837Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

SUEN To Ham (CE number APL837) is an individual licensed by the Hong Kong SFC. First licensed on 2007-08-22. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerPineBridge Investments Asia Limited
柏瑞投資亞洲有限公司
Responsible OfficerPineBridge Investments Hong Kong Limited
柏瑞投資香港有限公司

Licence Record (5)

2020-07-17 – present Current
PineBridge Investments Asia Limited RO
RA 1 RA 4 RA 9
2020-07-17 – present Current
PineBridge Investments Hong Kong Limited RO
RA 1 RA 9
2020-04-23 – 2020-07-17
PineBridge Investments Hong Kong Limited Rep
RA 1 RA 9
2012-11-01 – 2020-07-17
PineBridge Investments Asia Limited Rep
RA 1 RA 4 RA 9
2007-08-22 – 2009-11-11
UBS Securities Asia Limited Rep
RA 4

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/APL837