Lam, Frank Pun Yuen 林本源
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 | SINOPAC SECURITIES (ASIA) LIMITED | Rep | Advising on corporate finance | 2004-12-29 | 2005-06-13 |
| 2 | Fubon Capital (HK) Limited | Rep | Advising on corporate finance | 2007-03-26 | 2007-04-10 |
| 3 | Fubon Capital (HK) Limited | Rep | Advising on securities | 2007-03-26 | 2007-04-10 |
| 4 | Fubon Capital (HK) Limited | Rep | Dealing in securities | 2007-03-26 | 2007-04-10 |
| 5 | CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | RO | Advising on corporate finance | 2004-12-10 | |
| 6 | SINOPAC SECURITIES (ASIA) LIMITED | RO | Advising on corporate finance | 2005-06-13 | 2007-03-01 |
| 7 | Fubon Capital (HK) Limited | RO | Advising on corporate finance | 2007-04-10 | 2008-11-30 |
| 8 | AMPLE CAPITAL LIMITED | RO | Advising on corporate finance | 2010-02-12 | 2010-04-12 |
| 9 | GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED | RO | Advising on corporate finance | 2010-06-30 | 2010-11-28 |
| 10 | KGI CAPITAL ASIA LIMITED | RO | Advising on corporate finance | 2011-10-24 | 2013-02-03 |
| 11 | AMPLE CAPITAL LIMITED | RO | Advising on corporate finance | 2013-08-12 | 2019-10-02 |
| 12 | Alpha Financial Group Limited | RO | Advising on corporate finance | 2019-10-02 | |
| 13 | SINOPAC FUTURES (ASIA) LIMITED | RO | Advising on futures contracts | 2005-11-16 | 2007-03-01 |
| 14 | CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | RO | Advising on securities | 2004-12-10 | |
| 15 | SINOPAC SECURITIES (ASIA) LIMITED | RO | Advising on securities | 2005-11-16 | 2007-03-01 |
| 16 | Fubon Capital (HK) Limited | RO | Advising on securities | 2007-04-10 | 2008-11-30 |
| 17 | AMPLE CAPITAL LIMITED | RO | Advising on securities | 2010-02-12 | 2010-04-12 |
| 18 | KGI CAPITAL ASIA LIMITED | RO | Advising on securities | 2011-10-24 | 2013-02-03 |
| 19 | SINOPAC FUTURES (ASIA) LIMITED | RO | Dealing in futures contracts | 2005-06-13 | 2007-03-01 |
| 20 | SINOPAC SECURITIES (ASIA) LIMITED | RO | Dealing in securities | 2005-06-13 | 2007-03-01 |
| 21 | Fubon Capital (HK) Limited | RO | Dealing in securities | 2007-04-10 | 2008-11-30 |
| 22 | GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED | RO | Dealing in securities | 2010-06-30 | 2010-11-28 |
| 23 | KGI CAPITAL ASIA LIMITED | RO | Dealing in securities | 2011-10-24 | 2013-02-03 |
| 24 | Alpha Financial Group Limited | RO | Dealing in securities | 2013-08-12 |
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