Lam, Josephine Wai Yan 林惠茵
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | Asia Pacific Securities Limited | RO | Automated trading services | 2003-08-14 | RO | Dealing in securities | 2004-08-16 |
| 2 | DBS VICKERS (HONG KONG) LIMITED | Rep | Advising on securities | 2016-03-11 | 2016-04-18 | Rep | Dealing in securities | 2016-03-11 | 2016-04-18 | Rep | Dealing in futures contracts | 2016-03-11 | 2016-07-11 | RO | Advising on securities | 2016-04-18 | 2018-12-31 | RO | Dealing in securities | 2016-04-18 | 2018-12-31 | RO | Dealing in futures contracts | 2018-01-10 | 2018-12-31 |
| 3 | HSBC BROKING FOREX (ASIA) LIMITED | RO | Leveraged foreign exchange trading | 2019-06-17 | 2022-06-08 |
| 4 | HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2019-05-20 | 2019-06-17 | RO | Dealing in futures contracts | 2019-06-17 | 2022-06-08 |
| 5 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Advising on securities | 2019-05-20 | 2019-06-17 | Rep | Dealing in securities | 2019-05-20 | 2019-06-17 | RO | Advising on securities | 2019-06-17 | 2022-06-08 | RO | Dealing in securities | 2019-06-17 | 2022-06-08 |
| 6 | HSBC BROKING SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2019-05-20 | 2019-06-17 | RO | Dealing in securities | 2019-06-17 | 2022-06-08 |
| 7 | Mason Securities Limited | Rep | Dealing in securities | 2014-07-11 | 2014-08-04 | RO | Dealing in securities | 2014-08-04 | 2016-01-29 | RO | Advising on securities | 2015-07-07 | 2016-01-29 |
| 8 | YUE XIU FUTURES COMPANY LIMITED | RO | Dealing in futures contracts | 2003-08-26 | 2004-08-16 |
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