LAM Tze Lok

林子樂

CE AUC924Licensed IndividualResponsible OfficerSFO licence active

LAM Tze Lok (CE number AUC924) is an individual licensed by the Hong Kong SFC. First licensed on 2009-11-06. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities

RA 2 Dealing in Futures Contracts

RA 4 Advising on Securities

RA 9 Asset Management

Roles & Accreditations (3)

Capacity	Company / Institution
Responsible Officer	Joy Rich Asset Management Company Limited 凱富資產管理有限公司
Responsible Officer	Joy Rich Securities Investment Limited 海富證券投資有限公司
Representative	Joy Rich Securities Investment Limited 海富證券投資有限公司

Licence Record (10)

2021-02-01 – present Current

Joy Rich Asset Management Company Limited RO

RA 9

2019-09-12 – present Current

Joy Rich Securities Investment Limited RO

RA 4

2019-06-05 – present Current

Joy Rich Securities Investment Limited Rep

RA 1

2018-02-27 – 2018-12-31

Nine Rivers Capital Partners Limited RO

RA 4 RA 9

2015-10-20 – 2018-12-31

Nine Rivers Capital Partners Limited Rep

RA 1 RA 9

2010-11-16 – 2015-06-26

CMBC Securities Company Limited Rep

RA 1

2010-11-16 – 2015-06-26

CMBC International Futures Company Limited Rep

RA 2

2009-11-06 – 2010-11-06

Core Pacific - Yamaichi International (H.K.) Limited Rep

RA 1

2009-11-06 – 2010-11-06

Core Pacific-Yamaichi Securities (H.K.) Limited Rep

RA 1

2009-11-06 – 2010-11-06

Core Pacific-Yamaichi Futures (H.K.) Limited Rep

RA 2

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/AUC924