Carol Wan Yeung Lam
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Carol Wan Yeung Lam (林韻洋), a licensed Representative with CE reference AOQ811. Currently licensed at 1 firm(s): Nuveen Hong Kong Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities. This person has 19.0 years of SFC licence history. Total licence records on file: 12.
Information
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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 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Carol Wan Yeung 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.