Kwong Yu Lam
林光宇
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwong Yu Lam (林光宇), a licensed Responsible Officer with CE reference AFD849. Currently licensed at 2 firm(s): CMB International Securities Limited, CMB International Global Markets Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 23.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CMB International Securities Limited 招銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2023-03-16 | present |
| CMB International Securities Limited 招銀國際證券有限公司 |
RO | Type 4 — Advising on securities | 2023-03-16 | present |
| CMB International Global Markets Limited 招銀國際環球市場有限公司 |
RO | Type 1 — Dealing in securities | 2022-03-30 | present |
| CMB International Global Markets Limited 招銀國際環球市場有限公司 |
RO | Type 4 — Advising on securities | 2022-03-30 | present |
| CMB International Global Markets Limited 招銀國際環球市場有限公司 |
Rep | Type 1 — Dealing in securities | 2022-03-04 | 2022-03-30 |
| CMB International Global Markets Limited 招銀國際環球市場有限公司 |
Rep | Type 4 — Advising on securities | 2022-03-04 | 2022-03-30 |
| CCB International Securities Limited 建銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2012-01-03 | 2022-02-04 |
| CCB International Securities Limited 建銀國際證券有限公司 |
RO | Type 4 — Advising on securities | 2012-01-03 | 2022-02-04 |
| CCB International Securities Limited 建銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2011-01-19 | 2012-01-03 |
| CCB International Securities Limited 建銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2011-01-19 | 2012-01-03 |
| Vicis Capital (Hong Kong) Limited 威奇思資本(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-12-19 | 2010-02-12 |
| Vicis Capital (Hong Kong) Limited 威奇思資本(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-12-19 | 2010-02-12 |
| Vicis Capital (Hong Kong) Limited 威奇思資本(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-12-19 | 2010-02-12 |
| Vicis Capital (Hong Kong) Limited 威奇思資本(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2008-12-19 | 2010-02-12 |
| Vicis Capital (Hong Kong) Limited 威奇思資本(香港)有限公司 |
Rep | Type 9 — Asset management | 2008-12-19 | 2010-02-12 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2006-08-11 | 2007-08-11 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-08-11 | 2007-08-11 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-06-12 | 2007-08-11 |
| Daiwa Capital Markets Trading Hong Kong Limited 大和資本市場金融交易香港有限公司 |
Rep | Type 1 — Dealing in securities | 2005-10-17 | 2006-03-07 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 |
Rep | Type 1 — Dealing in securities | present | 2006-03-07 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-08-07 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-08-07 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 |
Rep | Type 9 — Asset management | present | 2003-08-07 |