Steve Kwok Leung Lam
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. This person has 17.0 years of SFC licence history. Total licence records on file: 21.
Information
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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 | Pre-2003 | 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 | Pre-2003 | 2003-10-07 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Steve Kwok Leung 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.