CHARLES-LIM CAPITAL LIMITED

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Activity type: AllAdvising on corporate financeAdvising on futures contractsAdvising on securitiesAsset managementAutomated trading servicesCredit rating servicesDealing in futures contractsDealing in OTC derivative products or advising on OTC derivative productsDealing in securitiesLeveraged foreign exchange tradingProviding client clearing services for OTC derivative transactionsProviding depositary services for relevant CISsSecurities margin financing

SFC licensees

RO=Responsible Officer, Rep=Representative

	Name	Age in 2016	⚥	Role	From	Until
1	Charles, Keiren			RO	2010-03-31
2	Lim, Shueh Yung			RO	2010-03-31
3	Tse, Phoebe Yuen Ting 謝宛庭		F	Rep	2015-12-18	2021-04-26
4	Wang, Rui (SFC:BFZ379) 王睿			Rep	2015-08-28	2016-07-22
5	Yip, Shiu Lun 葉兆麟			Rep	2015-05-19	2020-05-06

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