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. Total licence records on file: 9.
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 | present | 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 | present | 2003-08-22 |