Si Wah Lim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Si Wah Lim, a licensed Responsible Officer with CE reference AFO657. Currently licensed at 1 firm(s): Lei Shing Hong Securities Limited. Active regulated activities: Type 1 - Dealing in securities. This person has 23.4 years of SFC licence history. Total licence records on file: 6.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Lei Shing Hong Securities Limited 利星行證券有限公司 |
RO | Type 1 - Dealing in securities | 2021-04-13 | present |
| Lei Shing Hong Securities Limited 利星行證券有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2021-04-13 |
| Lei Shing Hong Securities Limited 利星行證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-01-08 |
| Lei Shing Hong Securities Limited 利星行證券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-01-08 |
| Lei Shing Hong Finance Limited 利星行財務有限公司 |
Rep | Type 8 - Securities margin financing | Pre-2003 | 2014-12-31 |
| Lei Shing Hong Securities Limited 利星行證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-01-08 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Si Wah 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.