Pung Lam
林芃
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Pung Lam (林芃), a licensed Representative with CE reference ADW634. Currently licensed at 1 firm(s): HSBC Securities Brokers (Asia) Limited. Active regulated activities: Type 1 — Dealing in securities. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2022-05-18 | present |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-06-03 | 2015-08-07 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-06-03 | 2015-08-07 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 7 — Providing automated trading services | 2013-06-03 | 2015-08-07 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2012-12-04 | 2013-04-20 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2012-09-10 | 2012-12-04 |
| ICBC International Futures Limited 工銀國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-09-10 | 2013-04-20 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2010-12-06 | 2012-06-04 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2006-03-28 | 2012-06-04 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | 2006-03-28 | 2010-12-06 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2004-02-24 | 2010-12-06 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2004-02-09 | 2012-06-04 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-01-07 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-01-07 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-01-07 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-01-07 |