Carol Wan Yeung Lam
林韻洋
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Carol Wan Yeung Lam (林韻洋), a licensed Representative with CE reference AOQ811. Currently licensed at 1 firm(s): Nuveen Hong Kong Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nuveen Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2022-08-19 | present |
| Nuveen Hong Kong Limited | Rep | Type 4 — Advising on securities | 2022-08-19 | present |
| Franklin Templeton Investments (Asia) Limited 富蘭克林鄧普頓投資(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2022-07-01 | 2022-07-20 |
| Franklin Templeton Investments (Asia) Limited 富蘭克林鄧普頓投資(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2022-07-01 | 2022-07-20 |
| Franklin Templeton Investments (Asia) Limited 富蘭克林鄧普頓投資(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2019-11-21 | 2022-06-30 |
| Franklin Templeton Investments (Asia) Limited 富蘭克林鄧普頓投資(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2019-11-21 | 2022-06-30 |
| Amundi Hong Kong Limited 東方匯理資產管理香港有限公司 |
Rep | Type 1 — Dealing in securities | 2019-03-12 | 2019-10-22 |
| Amundi Hong Kong Limited 東方匯理資產管理香港有限公司 |
Rep | Type 4 — Advising on securities | 2019-03-12 | 2019-10-22 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-08-06 | 2019-02-11 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2013-08-06 | 2019-02-11 |
| Wellington Management Hong Kong Limited 威靈頓管理香港有限公司 |
Rep | Type 1 — Dealing in securities | 2007-04-02 | 2013-07-24 |
| Wellington Management Hong Kong Limited 威靈頓管理香港有限公司 |
Rep | Type 4 — Advising on securities | 2007-04-02 | 2013-07-24 |