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LAM Tat Shing

林達誠
CE AUV992Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LAM Tat Shing (CE number AUV992) is an individual licensed by the Hong Kong SFC. First licensed on 2010-03-04. 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). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 3 Leveraged Foreign Exchange Trading
RA 4 Advising on Securities

Roles & Accreditations (3)

CapacityCompany / Institution
Responsible OfficerGuotai Junan Securities (Hong Kong) Limited
國泰君安證券(香港)有限公司
RepresentativeGuotai Junan FX Limited
國泰君安外匯有限公司
RepresentativeGuotai Junan Securities (Hong Kong) Limited
國泰君安證券(香港)有限公司

Licence Record (4)

2024-02-02 – present Current
Guotai Junan Securities (Hong Kong) Limited RO
RA 1
2021-09-09 – present Current
Guotai Junan FX Limited Rep
RA 3
2013-09-30 – present Current
Guotai Junan Securities (Hong Kong) Limited Rep
RA 1 RA 4
2010-03-04 – 2010-08-21
BOCI Securities Limited Rep
RA 1 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/AUV992