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LAM Wan Yeung, Carol

林韻洋
CE AOQ811Licensed IndividualSFO licence active
Official SFC record

LAM Wan Yeung, Carol (CE number AOQ811) is an individual licensed by the Hong Kong SFC. First licensed on 2007-04-02. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities).

Regulated Activities (on record) (2)

RA 1 Dealing in Securities
RA 4 Advising on Securities

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeNuveen Hong Kong Limited

Licence Record (6)

2022-08-19 – present Current
Nuveen Hong Kong Limited Rep
RA 1 RA 4
2022-07-01 – 2022-07-20
Franklin Templeton Investments (Asia) Limited Rep
RA 1 RA 4
2019-11-21 – 2022-06-30
Franklin Templeton Investments (Asia) Limited Rep
RA 1 RA 4
2019-03-12 – 2019-10-22
Amundi Hong Kong Limited Rep
RA 1 RA 4
2013-08-06 – 2019-02-11
FIL Investment Management (Hong Kong) Limited Rep
RA 1 RA 4
2007-04-02 – 2013-07-24
Wellington Management Hong Kong Limited Rep
RA 1 RA 4

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/AOQ811