Frank Pun Yuen Lam
林本源
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Frank Pun Yuen Lam (林本源), a licensed Responsible Officer with CE reference AFU929. Currently licensed at 1 firm(s): Alpha Financial Group Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 24.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Alpha Financial Group Limited 首盛資本集團有限公司 |
RO | Type 6 — Advising on corporate finance | 2019-10-02 | present |
| Alpha Financial Group Limited 首盛資本集團有限公司 |
RO | Type 1 — Dealing in securities | 2013-08-12 | present |
| Ample Capital Limited 豐盛融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2013-08-12 | 2019-09-30 |
| KGI Capital Asia Limited 凱基金融亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2011-10-24 | 2013-02-03 |
| KGI Capital Asia Limited 凱基金融亞洲有限公司 |
RO | Type 4 — Advising on securities | 2011-10-24 | 2013-02-03 |
| KGI Capital Asia Limited 凱基金融亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2011-10-24 | 2013-02-03 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
RO | Type 1 — Dealing in securities | 2010-06-30 | 2010-11-28 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2010-06-30 | 2010-11-28 |
| Ample Capital Limited 豐盛融資有限公司 |
RO | Type 4 — Advising on securities | 2010-02-12 | 2010-04-12 |
| Ample Capital Limited 豐盛融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2010-02-12 | 2010-04-12 |
| Fubon Capital (HK) Limited 富邦融資(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2007-04-10 | 2008-11-30 |
| Fubon Capital (HK) Limited 富邦融資(香港)有限公司 |
RO | Type 4 — Advising on securities | 2007-04-10 | 2008-11-30 |
| Fubon Capital (HK) Limited 富邦融資(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2007-04-10 | 2008-11-30 |
| Fubon Capital (HK) Limited 富邦融資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-03-26 | 2007-04-10 |
| Fubon Capital (HK) Limited 富邦融資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2007-03-26 | 2007-04-10 |
| Fubon Capital (HK) Limited 富邦融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-03-26 | 2007-04-10 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
RO | Type 4 — Advising on securities | 2005-11-16 | 2007-03-01 |
| SinoPac Futures (Asia) Limited 永豐金期貨(亞洲)有限公司 |
RO | Type 5 — Advising on futures contracts | 2005-11-16 | 2007-03-01 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2005-06-13 | 2007-03-01 |
| SinoPac Futures (Asia) Limited 永豐金期貨(亞洲)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2005-06-13 | 2007-03-01 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
RO | Type 6 — Advising on corporate finance | 2005-06-13 | 2007-03-01 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2004-12-29 | 2005-06-13 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 4 — Advising on securities | present | 2004-12-10 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2004-12-10 |