Frank Pun Yuen Lam
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Frank Pun Yuen Lam (林本源), a licensed Responsible Officer with CE reference AFU929. Currently licensed at 1 firm(s): Alpha Financial Group Limited. Active regulated activities: Type 1 - Dealing in securities; Type 6 - Advising on corporate finance. This person has 20.4 years of SFC licence history. Total licence records on file: 24.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Alpha Financial Group Limited 首盛資本集團有限公司 |
RO | Type 6 - Advising on corporate finance | 2019-10-02 | present |
| Alpha Financial Group Limited 首盛資本集團有限公司 |
RO | Type 1 - Dealing in securities | 2013-08-12 | present |
| Ample Capital Limited 豐盛融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2013-08-12 | 2019-09-30 |
| KGI Capital Asia Limited 凱基金融亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2011-10-24 | 2013-02-03 |
| KGI Capital Asia Limited 凱基金融亞洲有限公司 |
RO | Type 4 - Advising on securities | 2011-10-24 | 2013-02-03 |
| KGI Capital Asia Limited 凱基金融亞洲有限公司 |
RO | Type 6 - Advising on corporate finance | 2011-10-24 | 2013-02-03 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
RO | Type 1 - Dealing in securities | 2010-06-30 | 2010-11-28 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2010-06-30 | 2010-11-28 |
| Ample Capital Limited 豐盛融資有限公司 |
RO | Type 4 - Advising on securities | 2010-02-12 | 2010-04-12 |
| Ample Capital Limited 豐盛融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2010-02-12 | 2010-04-12 |
| Fubon Capital (HK) Limited 富邦融資(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2007-04-10 | 2008-11-30 |
| Fubon Capital (HK) Limited 富邦融資(香港)有限公司 |
RO | Type 4 - Advising on securities | 2007-04-10 | 2008-11-30 |
| Fubon Capital (HK) Limited 富邦融資(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2007-04-10 | 2008-11-30 |
| Fubon Capital (HK) Limited 富邦融資(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2007-03-26 | 2007-04-10 |
| Fubon Capital (HK) Limited 富邦融資(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2007-03-26 | 2007-04-10 |
| Fubon Capital (HK) Limited 富邦融資(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2007-03-26 | 2007-04-10 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
RO | Type 4 - Advising on securities | 2005-11-16 | 2007-03-01 |
| SinoPac Futures (Asia) Limited 永豐金期貨(亞洲)有限公司 |
RO | Type 5 - Advising on futures contracts | 2005-11-16 | 2007-03-01 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
RO | Type 1 - Dealing in securities | 2005-06-13 | 2007-03-01 |
| SinoPac Futures (Asia) Limited 永豐金期貨(亞洲)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2005-06-13 | 2007-03-01 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
RO | Type 6 - Advising on corporate finance | 2005-06-13 | 2007-03-01 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2004-12-29 | 2005-06-13 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 4 - Advising on securities | Pre-2003 | 2004-12-10 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | Pre-2003 | 2004-12-10 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Frank Pun Yuen 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.