Roger Lap Yen Lam
林立仁
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Roger Lap Yen Lam (林立仁), a licensed former licensee with CE reference ACQ984. This person has 13.4 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Glory Sun Securities Limited 寶新證券有限公司 |
Rep | Type 1 - Dealing in securities | 2018-03-20 | 2018-11-29 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 1 - Dealing in securities | 2012-07-03 | 2017-10-20 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 6 - Advising on corporate finance | 2012-07-03 | 2017-10-20 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2009-10-09 | 2012-06-30 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2009-10-09 | 2012-06-30 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2005-04-14 | 2007-12-05 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2005-04-14 | 2007-12-05 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2007-12-05 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-08-22 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Roger Lap Yen 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.