Lam, David Tai Yuen 林大源
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 | 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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