Carol Wan Yeung Lam
林韻洋
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Carol Wan Yeung Lam (林韻洋), CE reference AOQ811. Currently licensed at 1 firm(s): Nuveen Hong Kong Limited. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nuveen Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2022-08-19 | present |
| Nuveen Hong Kong Limited | Rep | Type 4 — Advising on securities | 2022-08-19 | present |
| Franklin Templeton Investments (Asia) Limited 富蘭克林鄧普頓投資(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2022-07-01 | 2022-07-20 |
| Franklin Templeton Investments (Asia) Limited 富蘭克林鄧普頓投資(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2022-07-01 | 2022-07-20 |
| Franklin Templeton Investments (Asia) Limited 富蘭克林鄧普頓投資(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2019-11-21 | 2022-06-30 |
| Franklin Templeton Investments (Asia) Limited 富蘭克林鄧普頓投資(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2019-11-21 | 2022-06-30 |
| Amundi Hong Kong Limited 東方匯理資產管理香港有限公司 |
Rep | Type 1 — Dealing in securities | 2019-03-12 | 2019-10-22 |
| Amundi Hong Kong Limited 東方匯理資產管理香港有限公司 |
Rep | Type 4 — Advising on securities | 2019-03-12 | 2019-10-22 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-08-06 | 2019-02-11 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2013-08-06 | 2019-02-11 |
| Wellington Management Hong Kong Limited 威靈頓管理香港有限公司 |
Rep | Type 1 — Dealing in securities | 2007-04-02 | 2013-07-24 |
| Wellington Management Hong Kong Limited 威靈頓管理香港有限公司 |
Rep | Type 4 — Advising on securities | 2007-04-02 | 2013-07-24 |