Lam, David Tai Yuen 林大源

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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 LEHMAN BROTHERS ASIA LIMITED Rep Advising on corporate finance 2003-08-12
2 LEHMAN BROTHERS ASIA LIMITED Rep Advising on securities 2003-08-12
3 LEHMAN BROTHERS ASIA LIMITED Rep Asset management 2003-08-12
4 LEHMAN BROTHERS ASIA LIMITED Rep Automated trading services 2003-08-12
5 LEHMAN BROTHERS SECURITIES ASIA LIMITED Rep Advising on corporate finance 2003-08-12
6 LEHMAN BROTHERS SECURITIES ASIA LIMITED Rep Advising on securities 2003-08-12
7 LEHMAN BROTHERS SECURITIES ASIA LIMITED Rep Asset management 2003-08-12
8 LEHMAN BROTHERS SECURITIES ASIA LIMITED Rep Automated trading services 2003-08-12
9 LEHMAN BROTHERS ASIA LIMITED Rep Dealing in securities 2006-03-28
10 LEHMAN BROTHERS SECURITIES ASIA LIMITED Rep Dealing in securities 2006-03-28
11 LEHMAN BROTHERS ASIA LIMITED Rep Dealing in futures contracts 2006-03-03 2008-09-29
12 LEHMAN BROTHERS ASIA LIMITED RO Dealing in securities 2006-03-28 2008-09-29
13 LEHMAN BROTHERS SECURITIES ASIA LIMITED RO Dealing in securities 2006-03-28 2008-09-29
14 NOMURA INTERNATIONAL (HONG KONG) LIMITED Rep Dealing in futures contracts 2008-10-10 2009-09-08
15 NOMURA INTERNATIONAL (HONG KONG) LIMITED Rep Dealing in securities 2008-10-10 2009-09-08
16 NOMURA INTERNATIONAL (HONG KONG) LIMITED RO Dealing in futures contracts 2009-09-08 2013-03-16
17 NOMURA INTERNATIONAL (HONG KONG) LIMITED RO Dealing in securities 2009-09-08 2013-03-16
18 NOMURA SECURITIES (HONG KONG) LIMITED RO Dealing in futures contracts 2013-01-23 2013-03-16
19 NOMURA SECURITIES (HONG KONG) LIMITED RO Dealing in securities 2013-01-23 2013-03-16

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