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LAM Lai Kwan

林麗君
CE AXC908Licensed IndividualSFO licence active
Official SFC record

LAM Lai Kwan (CE number AXC908) is an individual licensed by the Hong Kong SFC. First licensed on 2011-04-11. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management).

Regulated Activities (on record) (3)

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

Roles & Accreditations (2)

CapacityCompany / Institution
RepresentativePrincipal Asset Management Company (Asia) Limited
信安資金管理(亞洲)有限公司
RepresentativePrincipal Investment & Retirement Services Limited
信安投資及退休金服務有限公司

Licence Record (6)

2022-12-01 – present Current
Principal Asset Management Company (Asia) Limited Rep
RA 1 RA 4
2017-12-28 – present Current
Principal Investment & Retirement Services Limited Rep
RA 1
2017-06-27 – 2022-12-31
Principal Global Investors (Hong Kong) Limited Rep
RA 4
2012-09-04 – 2014-09-27
GAM Hong Kong Limited Rep
RA 1 RA 4
2011-04-11 – 2012-08-24
Value Partners Hong Kong Limited Rep
RA 1 RA 4 RA 9
2011-04-11 – 2012-08-24
Value Partners Limited Rep
RA 1 RA 4 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/AXC908