Steve Kwok Leung Lam
林國樑
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Steve Kwok Leung Lam (林國樑), a licensed Responsible Officer with CE reference AGC469. Currently licensed at 2 firm(s): CLSA Limited, CITIC Securities (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 6 — Advising on corporate finance. Total licence records on file: 21.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Advising on corporate finance →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-10-04 | present |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2018-10-04 | present |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2018-10-04 | present |
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 4 — Advising on securities | 2018-10-04 | 2021-07-28 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-08-10 | 2018-10-04 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2017-08-10 | 2018-10-04 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 — Advising on securities | 2017-08-10 | 2018-10-04 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-08-10 | 2018-10-04 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-07-04 | 2016-11-11 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 — Dealing in securities | 2011-07-04 | 2012-01-31 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-07-04 | 2016-11-11 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-06-08 | 2007-06-25 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2006-05-25 | 2007-06-25 |
| CITIC CLSA Capital Partners HK Limited 中信證券國際資本(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-05-25 | 2006-06-07 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 1 — Dealing in securities | 2005-08-23 | 2006-05-04 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-08-23 | 2006-05-04 |
| VC Brokerage Limited 滙盈證券有限公司 |
Rep | Type 1 — Dealing in securities | 2005-06-21 | 2005-08-05 |
| VC Capital Limited 滙盈融資有限公司 |
Rep | Type 1 — Dealing in securities | 2005-04-13 | 2005-08-05 |
| VC Capital Limited 滙盈融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-04-13 | 2005-08-05 |
| BNP Paribas Capital (Asia Pacific) Limited 法國巴黎資本(亞太)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-10-07 |
| BNP Paribas Capital (Asia Pacific) Limited 法國巴黎資本(亞太)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-10-07 |