Eric Tak Shing Lam
林德成
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Eric Tak Shing Lam (林德成), a licensed Representative with CE reference AAI558. Currently licensed at 2 firm(s): Shenwan Hongyuan Securities (H.K.) Limited, Shenwan Hongyuan Futures (H.K.) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 19.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-10-06 | present |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-10-06 | present |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-11-15 | 2015-09-30 |
| China Everbright Forex & Futures (HK) Limited 中國光大外匯、期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-11-15 | 2015-09-30 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-09-16 | 2011-11-05 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-09-16 | 2011-11-05 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2010-02-05 | 2010-05-13 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-11-29 | 2010-05-13 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2010-05-13 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | present | 2010-05-13 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | present | 2010-02-19 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-11-18 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 4 — Advising on securities | present | 2004-11-18 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | present | 2004-11-18 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-11-18 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-11-18 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2004-11-18 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-11-18 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2004-11-18 |