Lam, Frank Pun Yuen 林本源

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SFC licenses

Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.

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Organisation Role Activity From Until
1 Alpha Financial Group Limited RO Dealing in securities 2013-08-12
RO Advising on corporate finance 2019-10-02
2 AMPLE CAPITAL LIMITED RO Advising on corporate finance 2010-02-12 2010-04-12
RO Advising on securities 2010-02-12 2010-04-12
RO Advising on corporate finance 2013-08-12 2019-09-30
3 CHINA MERCHANTS SECURITIES (HK) CO., LIMITED RO Advising on corporate finance 2004-12-10
RO Advising on securities 2004-12-10
4 Fubon Capital (HK) Limited Rep Advising on corporate finance 2007-03-26 2007-04-10
Rep Advising on securities 2007-03-26 2007-04-10
Rep Dealing in securities 2007-03-26 2007-04-10
RO Advising on corporate finance 2007-04-10 2008-11-30
RO Advising on securities 2007-04-10 2008-11-30
RO Dealing in securities 2007-04-10 2008-11-30
5 GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED RO Advising on corporate finance 2010-06-30 2010-11-28
RO Dealing in securities 2010-06-30 2010-11-28
6 KGI CAPITAL ASIA LIMITED RO Advising on corporate finance 2011-10-24 2013-02-03
RO Advising on securities 2011-10-24 2013-02-03
RO Dealing in securities 2011-10-24 2013-02-03
7 SINOPAC FUTURES (ASIA) LIMITED RO Dealing in futures contracts 2005-06-13 2007-03-01
RO Advising on futures contracts 2005-11-16 2007-03-01
8 SINOPAC SECURITIES (ASIA) LIMITED Rep Advising on corporate finance 2004-12-29 2005-06-13
RO Advising on corporate finance 2005-06-13 2007-03-01
RO Dealing in securities 2005-06-13 2007-03-01
RO Advising on securities 2005-11-16 2007-03-01

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