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. This person has 5.5 years of SFC licence history. Total licence records on file: 13.
Information
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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 | Pre-2003 | 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 | Pre-2003 | 2005-06-30 |
| HSBC Structured Funds (Asia) Limited | Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2003-12-10 |
| HSBC Securities (Asia) Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 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 | Pre-2003 | 2003-12-10 |
| HSBC Structured Funds (Asia) Limited | Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2003-12-10 |
| HSBC Securities (Asia) Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 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 | Pre-2003 | 2003-12-10 |
| HSBC Structured Funds (Asia) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2005-06-30 |
| HSBC Securities (Asia) Limited | Rep | Type 9 - Asset management | Pre-2003 | 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 | Pre-2003 | 2003-12-10 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Sum Sum 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.