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LAM Pui Yan

林培人
CE BHV688Licensed IndividualSFO licence active
Official SFC record

LAM Pui Yan (CE number BHV688) is an individual licensed by the Hong Kong SFC. First licensed on 2016-08-16. 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).

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 (2)

CapacityCompany / Institution
RepresentativeHSBC Global Asset Management (Hong Kong) Limited
RepresentativeHSBC Investment Funds (Hong Kong) Limited

Licence Record (4)

2022-03-21 – present Current
HSBC Investment Funds (Hong Kong) Limited Rep
RA 1
2019-12-10 – present Current
HSBC Global Asset Management (Hong Kong) Limited Rep
RA 1 RA 2 RA 4 RA 5 RA 9
2017-06-09 – 2018-09-30
BANDS Financial Limited Rep
RA 2
2016-08-16 – 2017-03-09
Hong Kong International Capital Management Limited Rep
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/BHV688