Lim, Swee Tin Lisa 林瑞珍
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | ABCI Securities Company Limited | RO | Dealing in securities | 2005-11-15 | 2007-07-09 |
| 2 | BOCI ASIA LIMITED | Rep | Advising on corporate finance | 2015-01-13 | 2015-08-20 | Rep | Dealing in securities | 2015-01-13 | 2015-08-20 | RO | Advising on corporate finance | 2015-08-20 | 2022-01-21 | RO | Dealing in securities | 2015-08-20 | 2022-01-21 |
| 3 | BOCI SECURITIES LIMITED | Rep | Dealing in securities | 2015-01-13 | 2015-08-20 | RO | Dealing in securities | 2015-08-20 | 2022-01-21 |
| 4 | BOCOM International (Asia) Limited | Rep | Advising on corporate finance | 2010-10-26 | 2015-01-02 | Rep | Dealing in securities | 2010-10-26 | 2015-01-02 |
| 5 | BOCOM International Securities Limited | Rep | Dealing in securities | 2010-10-26 | 2010-12-21 | RO | Dealing in securities | 2010-12-21 | 2015-01-02 | Rep | Advising on securities | 2014-09-25 | 2015-01-02 |
| 6 | CENTRAL CHINA INTERNATIONAL CAPITAL LIMITED | RO | Dealing in securities | 2004-07-23 | 2005-10-28 |
| 7 | Daiwa Capital Markets Hong Kong Limited | Rep | Dealing in securities | 2007-07-24 | 2008-05-05 | Rep | Advising on corporate finance | 2007-08-17 | 2010-10-20 | RO | Dealing in securities | 2008-05-05 | 2010-10-20 |
| 8 | SBI China Capital Securities Limited | RO | Dealing in securities | 2004-07-23 | 2005-10-28 |
| 9 | Vantage Capital Markets HK Limited | Rep | Dealing in securities | 2022-02-07 | Rep | Advising on securities | 2022-12-21 | 2024-02-19 | RO | Advising on corporate finance | 2022-12-28 | RO | Advising on securities | 2024-02-19 |
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