Wah Sai Lim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wah Sai Lim, a licensed Responsible Officer with CE reference ABM528. Currently licensed at 3 firm(s): Phillip Securities (Hong Kong) Limited, Phillip Commodities (HK) Limited, Phillip Capital Management (HK) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 3 - Leveraged foreign exchange trading; Type 4 - Advising on securities; Type 5 - Advising on futures contracts; Type 9 - Asset management. This person has 23.4 years of SFC licence history. Total licence records on file: 12.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
RO | Type 9 - Asset management | 2007-05-02 | present |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
RO | Type 3 - Leveraged foreign exchange trading | 2003-12-09 | present |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | Pre-2003 | present |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | Pre-2003 | present |
| Phillip Capital Management (HK) Limited 輝立資本管理(香港)有限公司 |
RO | Type 4 - Advising on securities | Pre-2003 | present |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
RO | Type 4 - Advising on securities | Pre-2003 | present |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
RO | Type 5 - Advising on futures contracts | Pre-2003 | present |
| Phillip Capital Management (HK) Limited 輝立資本管理(香港)有限公司 |
RO | Type 9 - Asset management | Pre-2003 | present |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | Pre-2003 | 2003-10-30 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
RO | Type 7 - Providing automated trading services | Pre-2003 | 2003-08-15 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
RO | Type 9 - Asset management | Pre-2003 | 2003-10-30 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
RO | Type 9 - Asset management | Pre-2003 | 2003-10-30 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Wah Sai Lim during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.