Lam, Kwong Yu (SFC:AFD849) 林光宇
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 | CCB INTERNATIONAL SECURITIES LIMITED | Rep | Advising on securities | 2011-01-19 | 2012-01-03 | Rep | Dealing in securities | 2011-01-19 | 2012-01-03 | RO | Advising on securities | 2012-01-03 | 2022-02-04 | RO | Dealing in securities | 2012-01-03 | 2022-02-04 |
| 2 | CMB International Global Markets Limited | Rep | Advising on securities | 2022-03-04 | 2022-03-30 | Rep | Dealing in securities | 2022-03-04 | 2022-03-30 | RO | Advising on securities | 2022-03-30 | RO | Dealing in securities | 2022-03-30 |
| 3 | CMB International Securities Limited | RO | Advising on securities | 2023-03-16 | RO | Dealing in securities | 2023-03-16 |
| 4 | DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED | Rep | Dealing in securities | 2005-10-17 | 2006-03-07 |
| 5 | KBC FINANCIAL PRODUCTS HONG KONG LIMITED | Rep | Advising on corporate finance | 2003-08-07 | Rep | Advising on securities | 2003-08-07 | Rep | Asset management | 2003-08-07 | Rep | Dealing in securities | 2006-03-07 |
| 6 | Nomura Asia Investment (Hong Kong) Limited | Rep | Dealing in futures contracts | 2006-08-11 | 2007-08-11 |
| 7 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in securities | 2006-06-12 | 2007-08-11 | Rep | Dealing in futures contracts | 2006-08-11 | 2007-08-11 |
| 8 | Vicis Capital (Hong Kong) Limited | Rep | Advising on futures contracts | 2008-12-19 | 2010-02-12 | Rep | Advising on securities | 2008-12-19 | 2010-02-12 | Rep | Asset management | 2008-12-19 | 2010-02-12 | Rep | Dealing in futures contracts | 2008-12-19 | 2010-02-12 | Rep | Dealing in securities | 2008-12-19 | 2010-02-12 |
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