Suen Lam
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Suen Lam, a licensed Responsible Officer with CE reference AZQ775. Currently licensed at 1 firm(s): Nomura International (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities. This person has 4.3 years of SFC licence history. Total licence records on file: 6.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2025-10-20 | present |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2023-09-01 | 2025-10-20 |
| Heritvest Wealth Management (Hong Kong) Co., Limited 瑞承財富管理(香港)有限公司 |
RO | Type 4 - Advising on securities | 2022-11-17 | 2023-05-25 |
| Heritvest Wealth Management (Hong Kong) Co., Limited 瑞承財富管理(香港)有限公司 |
RO | Type 9 - Asset management | 2022-11-17 | 2023-05-25 |
| Heritvest Wealth Management (Hong Kong) Co., Limited 瑞承財富管理(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2022-03-30 | 2023-05-25 |
| Heritvest Wealth Management (Hong Kong) Co., Limited 瑞承財富管理(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2022-02-04 | 2022-03-30 |
Worked alongside
The 5 closest colleagues, strongest tie first — individuals licensed at the same firm as Suen 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.