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LAM Sze Man

林思敏
CE AXT415Licensed IndividualSFO licence active
Official SFC record

LAM Sze Man (CE number AXT415) is an individual licensed by the Hong Kong SFC. First licensed on 2011-08-08. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities).

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities

Roles & Accreditations (2)

CapacityCompany / Institution
RepresentativePrudential Brokerage Limited
信誠證券有限公司
RepresentativePrudential Index Trading Company Limited
信誠期貨有限公司

Licence Record (16)

2022-08-10 – present Current
Prudential Brokerage Limited Rep
RA 1
2022-08-10 – present Current
Prudential Index Trading Company Limited Rep
RA 2
2022-03-10 – 2022-05-29
OCBC Securities Brokerage (Hong Kong) Limited Rep
RA 1
2022-03-10 – 2022-05-29
OCBC Futures Investment (Hong Kong) Limited Rep
RA 2
2019-09-10 – 2021-12-01
Everbright Securities Investment Services (HK) Limited Rep
RA 1 RA 4
2019-09-10 – 2021-12-01
CES Commodities (HK) Limited Rep
RA 2
2018-09-24 – 2019-08-25
RHB Securities Hong Kong Limited Rep
RA 1
2018-09-24 – 2019-08-25
RHB Futures Hong Kong Limited Rep
RA 2
2016-12-19 – 2018-09-09
Shanxi Securities International Futures Limited Rep
RA 2
2016-11-17 – 2018-09-09
Shanxi Securities International Limited Rep
RA 1
2016-11-17 – 2017-03-31
Shanxi Securities International Financial Holdings Limited Rep
RA 2
2013-09-23 – 2014-07-02
Holly International Financial Holdings Limited Rep
RA 2
2012-04-26 – 2013-09-06
South China Securities Limited Rep
RA 1
2012-04-26 – 2013-09-06
South China Commodities Limited Rep
RA 2
2011-08-08 – 2012-04-06
KGI Asia Limited Rep
RA 1
2011-08-08 – 2012-04-06
KGI Futures (Hong Kong) 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/AXT415