Alain Sai Wai Lam
林世偉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alain Sai Wai Lam (林世偉), a licensed former licensee with CE reference AES822. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2016-03-17 | 2020-09-18 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 4 — Advising on securities | 2016-03-17 | 2020-09-18 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2016-03-17 | 2020-09-18 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2016-01-08 | 2016-03-17 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2016-01-08 | 2016-03-17 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-01-08 | 2016-03-17 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2015-10-30 | 2016-01-03 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-10-30 | 2016-01-03 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2011-05-20 | 2015-10-30 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2011-05-20 | 2015-10-30 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-08-01 | 2011-05-20 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-08-01 | 2011-05-20 |