LAM Frank Pun Yuen

林本源

CE AFU929Licensed IndividualResponsible OfficerSFO licence active

LAM Frank Pun Yuen (CE number AFU929) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (6)

RA 1 Dealing in Securities

RA 2 Dealing in Futures Contracts

RA 4 Advising on Securities

RA 5 Advising on Futures Contracts

RA 6 Advising on Corporate Finance

RA 9 Asset Management

Roles & Accreditations (1)

Capacity	Company / Institution
Responsible Officer	Alpha Financial Group Limited 首盛資本集團有限公司

Licence Record (10)

2013-08-12 – present Current

Alpha Financial Group Limited RO

RA 1 RA 6

2011-10-24 – 2013-02-03

KGI Capital Asia Limited RO

RA 1 RA 4 RA 6

2010-06-30 – 2010-11-28

Guosen Securities (HK) Capital Company Limited RO

RA 1 RA 6

2010-02-12 – 2019-09-30

Ample Capital Limited RO

RA 4 RA 6

2007-04-10 – 2008-11-30

Fubon Capital (HK) Limited RO

RA 1 RA 4 RA 6

2007-03-26 – 2007-04-10

Fubon Capital (HK) Limited Rep

RA 1 RA 4 RA 6

2005-06-13 – 2007-03-01

SinoPac Securities (Asia) Limited RO

RA 1 RA 4 RA 6

2005-06-13 – 2007-03-01

SinoPac Futures (Asia) Limited RO

RA 2 RA 5

2004-12-29 – 2005-06-13

SinoPac Securities (Asia) Limited Rep

RA 6

2003-04-01 – 2004-12-10

China Merchants Securities (HK) Co., Limited RO

RA 4 RA 6

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AFU929