Josephine Wai Yan Lam
林惠茵
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Josephine Wai Yan Lam (林惠茵), a licensed former licensee with CE reference ADW932. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2019-06-17 | 2022-06-08 |
| HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2019-06-17 | 2022-06-08 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2019-06-17 | 2022-06-08 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
RO | Type 3 — Leveraged foreign exchange trading | 2019-06-17 | 2022-06-08 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
RO | Type 4 — Advising on securities | 2019-06-17 | 2022-06-08 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2019-05-20 | 2019-06-17 |
| HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2019-05-20 | 2019-06-17 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2019-05-20 | 2019-06-17 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2019-05-20 | 2019-06-17 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
RO | Type 2 — Dealing in futures contracts | 2018-01-10 | 2018-12-31 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
RO | Type 1 — Dealing in securities | 2016-04-18 | 2018-12-31 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
RO | Type 4 — Advising on securities | 2016-04-18 | 2018-12-31 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 1 — Dealing in securities | 2016-03-11 | 2016-04-18 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-03-11 | 2016-07-11 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 4 — Advising on securities | 2016-03-11 | 2016-04-18 |
| Mason Securities Limited 茂宸證券有限公司 |
RO | Type 4 — Advising on securities | 2015-07-07 | 2016-01-29 |
| Mason Securities Limited 茂宸證券有限公司 |
RO | Type 1 — Dealing in securities | 2014-08-04 | 2016-01-29 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-07-11 | 2014-08-04 |
| Yue Xiu Futures Company Limited 越秀期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2003-08-26 | 2004-08-16 |
| Asia Pacific Securities Limited 亞太證券有限公司 |
RO | Type 1 — Dealing in securities | present | 2004-08-16 |
| Asia Pacific Securities Limited 亞太證券有限公司 |
RO | Type 7 — Providing automated trading services | present | 2003-08-14 |