Tuan Lam
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tuan Lam, a licensed Responsible Officer with CE reference AFK300. Currently licensed at 1 firm(s): iCapital Hong Kong Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities. This person has 19.5 years of SFC licence history. Total licence records on file: 12.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| iCapital Hong Kong Limited | RO | Type 1 - Dealing in securities | 2025-01-14 | present |
| iCapital Hong Kong Limited | RO | Type 4 - Advising on securities | 2025-01-14 | present |
| Goldman Sachs Asset Management (Hong Kong) Limited 高盛資產管理(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2016-06-24 | 2024-05-02 |
| Goldman Sachs Asset Management (Hong Kong) Limited 高盛資產管理(香港)有限公司 |
RO | Type 4 - Advising on securities | 2016-06-24 | 2024-05-02 |
| Goldman Sachs Asset Management (Hong Kong) Limited 高盛資產管理(香港)有限公司 |
RO | Type 9 - Asset management | 2016-06-24 | 2024-05-02 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
RO | Type 1 - Dealing in securities | 2008-08-05 | 2017-07-31 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
RO | Type 9 - Asset management | 2008-08-05 | 2017-07-31 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2006-05-18 | 2008-08-05 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 - Asset management | 2006-05-18 | 2008-08-05 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 1 - Dealing in securities | 2006-03-13 | 2006-04-29 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 4 - Advising on securities | 2006-03-13 | 2006-04-29 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2006-03-13 | 2006-04-29 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Tuan 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.