Ada Lok Yee Lam
林洛宜
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ada Lok Yee Lam (林洛宜), a licensed former licensee with CE reference ACG599. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2022-06-15 | 2024-06-26 |
| Chinese Strategic Asset Management Limited 華人富通資產管理有限公司 |
RO | Type 4 — Advising on securities | 2016-03-24 | 2019-11-30 |
| Chinese Strategic Asset Management Limited 華人富通資產管理有限公司 |
RO | Type 9 — Asset management | 2016-03-24 | 2019-11-30 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2010-07-26 | 2012-04-24 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 — Providing automated trading services | 2010-07-26 | 2012-04-24 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2004-05-14 | 2007-02-15 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2003-05-20 | 2004-04-07 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-05-02 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-05-02 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-05-02 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-05-02 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 9 — Asset management | present | 2003-05-02 |