Lam, Sum Sum 林森森
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 | HSBC SECURITIES (ASIA) LIMITED | Rep | Advising on corporate finance | 2003-12-10 | Rep | Asset management | 2004-07-27 | Rep | Advising on securities | 2005-06-30 | Rep | Dealing in securities | 2005-06-30 |
| 2 | HSBC SECURITIES BROKERS (ASIA) LIMITED | Rep | Advising on corporate finance | 2003-12-10 | Rep | Advising on securities | 2003-12-10 | Rep | Asset management | 2003-12-10 | Rep | Dealing in securities | 2005-06-30 |
| 3 | HSBC STRUCTURED FUNDS (ASIA) LIMITED | Rep | Advising on futures contracts | 2003-12-10 | Rep | Dealing in futures contracts | 2003-12-10 | Rep | Asset management | 2005-06-30 | Rep | Advising on securities | 2004-05-15 | 2005-06-30 |
| 4 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2005-07-18 | 2008-10-23 |
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