Josephine Wai Yan Lam
林惠茵
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Josephine Wai Yan Lam (林惠茵), a licensed former licensee with CE reference ADW932. This person has 8.8 years of SFC licence history. Total licence records on file: 21.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
RO | Type 1 - Dealing in securities | 2019-06-17 | 2022-06-08 |
| HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2019-06-17 | 2022-06-08 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2019-06-17 | 2022-06-08 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
RO | Type 3 - Leveraged foreign exchange trading | 2019-06-17 | 2022-06-08 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
RO | Type 4 - Advising on securities | 2019-06-17 | 2022-06-08 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2019-05-20 | 2019-06-17 |
| HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2019-05-20 | 2019-06-17 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2019-05-20 | 2019-06-17 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2019-05-20 | 2019-06-17 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
RO | Type 2 - Dealing in futures contracts | 2018-01-10 | 2018-12-31 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
RO | Type 1 - Dealing in securities | 2016-04-18 | 2018-12-31 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
RO | Type 4 - Advising on securities | 2016-04-18 | 2018-12-31 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 1 - Dealing in securities | 2016-03-11 | 2016-04-18 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-03-11 | 2016-07-11 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 4 - Advising on securities | 2016-03-11 | 2016-04-18 |
| Mason Securities Limited 茂宸證券有限公司 |
RO | Type 4 - Advising on securities | 2015-07-07 | 2016-01-29 |
| Mason Securities Limited 茂宸證券有限公司 |
RO | Type 1 - Dealing in securities | 2014-08-04 | 2016-01-29 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 1 - Dealing in securities | 2014-07-11 | 2014-08-04 |
| Yue Xiu Futures Company Limited 越秀期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2003-08-26 | 2004-08-16 |
| Asia Pacific Securities Limited 亞太證券有限公司 |
RO | Type 1 - Dealing in securities | Pre-2003 | 2004-08-16 |
| Asia Pacific Securities Limited 亞太證券有限公司 |
RO | Type 7 - Providing automated trading services | Pre-2003 | 2003-08-14 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Josephine Wai Yan Lam during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.