Sum Sum Lam
林森森
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sum Sum Lam (林森森), a licensed former licensee with CE reference AFY780. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2005-07-18 | 2008-10-23 |
| HSBC Structured Funds (Asia) Limited | Rep | Type 4 — Advising on securities | 2004-05-15 | 2005-06-30 |
| HSBC Securities (Asia) Limited | Rep | Type 1 — Dealing in securities | present | 2005-06-30 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2005-06-30 |
| HSBC Structured Funds (Asia) Limited | Rep | Type 2 — Dealing in futures contracts | present | 2003-12-10 |
| HSBC Securities (Asia) Limited | Rep | Type 4 — Advising on securities | present | 2005-06-30 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-12-10 |
| HSBC Structured Funds (Asia) Limited | Rep | Type 5 — Advising on futures contracts | present | 2003-12-10 |
| HSBC Securities (Asia) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-12-10 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-12-10 |
| HSBC Structured Funds (Asia) Limited | Rep | Type 9 — Asset management | present | 2005-06-30 |
| HSBC Securities (Asia) Limited | Rep | Type 9 — Asset management | present | 2004-07-27 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2003-12-10 |