SFC Licences of LAM Frank Pun Yuen 林本源

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
Alpha Financial Group Limited 首盛資本集團有限公司 RO 6 02 October 2019
Ample Capital Limited 豐盛融資有限公司 RO 6 12 August 2013 30 September 2019
Alpha Financial Group Limited 首盛資本集團有限公司 RO 1 12 August 2013
KGI Capital Asia Limited 凱基金融亞洲有限公司 RO 6 24 October 2011 03 February 2013
KGI Capital Asia Limited 凱基金融亞洲有限公司 RO 4 24 October 2011 03 February 2013
KGI Capital Asia Limited 凱基金融亞洲有限公司 RO 1 24 October 2011 03 February 2013
Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 RO 6 30 June 2010 28 November 2010
Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 RO 1 30 June 2010 28 November 2010
Ample Capital Limited 豐盛融資有限公司 RO 6 12 February 2010 12 April 2010
Ample Capital Limited 豐盛融資有限公司 RO 4 12 February 2010 12 April 2010
Fubon Capital (HK) Limited 富邦融資(香港)有限公司 RO 6 10 April 2007 30 November 2008
Fubon Capital (HK) Limited 富邦融資(香港)有限公司 RO 4 10 April 2007 30 November 2008
Fubon Capital (HK) Limited 富邦融資(香港)有限公司 RO 1 10 April 2007 30 November 2008
Fubon Capital (HK) Limited 富邦融資(香港)有限公司 RE 6 26 March 2007 10 April 2007
Fubon Capital (HK) Limited 富邦融資(香港)有限公司 RE 4 26 March 2007 10 April 2007
Fubon Capital (HK) Limited 富邦融資(香港)有限公司 RE 1 26 March 2007 10 April 2007
SinoPac Futures (Asia) Limited 永豐金期貨(亞洲)有限公司 RO 5 16 November 2005 01 March 2007
SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 RO 4 16 November 2005 01 March 2007
SinoPac Futures (Asia) Limited 永豐金期貨(亞洲)有限公司 RO 2 13 June 2005 01 March 2007
SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 RO 6 13 June 2005 01 March 2007
SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 RO 1 13 June 2005 01 March 2007
SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 RE 6 29 December 2004 13 June 2005
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 RO 6 01 April 2003 10 December 2004
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 RO 4 01 April 2003 10 December 2004