Kwan Lam
林崑
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwan Lam (林崑), a licensed former licensee with CE reference AIN831. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Highland Financial Group Limited |
RO | Type 4 — Advising on securities | 2011-06-03 | 2012-08-10 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 4 — Advising on securities | 2009-09-09 | 2009-12-18 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 4 — Advising on securities | 2008-10-22 | 2009-03-13 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-12-09 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2008-05-30 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-12-09 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2004-12-09 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2004-12-09 |