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LO Hiu Lam

盧曉琳
CE APL937Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LO Hiu Lam (CE number APL937) is an individual licensed by the Hong Kong SFC. First licensed on 2007-09-03. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerVast Harbour Corporate Finance Limited
華港企業融資有限公司

Licence Record (7)

2021-10-06 – present Current
Vast Harbour Corporate Finance Limited RO
RA 6
2021-01-19 – 2021-03-11
Advent Corporate Finance Limited Rep
RA 6
2019-01-28 – 2020-08-18
Silk Road International Capital Limited RO
RA 1 RA 4 RA 6
2018-11-20 – 2019-01-28
Silk Road International Capital Limited Rep
RA 1 RA 4 RA 6
2017-10-19 – 2018-08-31
Shenwan Hongyuan Capital (H.K.) Limited RO
RA 1 RA 4 RA 6
2013-05-07 – 2017-10-19
Shenwan Hongyuan Capital (H.K.) Limited Rep
RA 1 RA 4 RA 6
2007-09-03 – 2012-11-09
CGS International Securities Hong Kong Limited Rep
RA 1 RA 6

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/APL937