David Tai Yuen Lam
林大源
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Tai Yuen Lam (林大源), a licensed former licensee with CE reference ADJ557. Total licence records on file: 19.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura Securities (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2013-01-23 | 2013-03-16 |
| Nomura Securities (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2013-01-23 | 2013-03-16 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2009-09-08 | 2013-03-16 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2009-09-08 | 2013-03-16 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-10-10 | 2009-09-08 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-10-10 | 2009-09-08 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
RO | Type 1 — Dealing in securities | 2006-03-28 | 2008-09-29 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2006-03-28 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-03-03 | 2008-09-29 |
| 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 | 2006-03-28 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2006-03-28 |
| 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 | 2003-08-12 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-08-12 |
| 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 | 2003-08-12 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-08-12 |
| 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 | 2003-08-12 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-08-12 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 9 — Asset management | present | 2003-08-12 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2003-08-12 |