Lim Pong Kwan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lim Pong Kwan (關念邦), a licensed Responsible Officer with CE reference ALL139. Currently licensed at 1 firm(s): Minmetals Financial Services Limited. Active regulated activities: Type 2 - Dealing in futures contracts; Type 5 - Advising on futures contracts. This person has 20.2 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Minmetals Financial Services Limited 五礦金融服務有限公司 |
RO | Type 2 - Dealing in futures contracts | 2018-10-08 | present |
| Minmetals Financial Services Limited 五礦金融服務有限公司 |
RO | Type 5 - Advising on futures contracts | 2018-10-08 | present |
| Xin Hua Securities (Hong Kong) Limited 新華證券(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2016-12-23 | 2017-03-27 |
| Xin Hua Securities (Hong Kong) Limited 新華證券(香港)有限公司 |
RO | Type 5 - Advising on futures contracts | 2016-12-23 | 2017-03-27 |
| Chief Securities Limited 致富證券有限公司 |
Rep | Type 4 - Advising on securities | 2016-05-12 | 2016-12-19 |
| Chief Commodities Limited 致富期貨商品有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2005-11-14 | 2016-12-19 |
| Chief Securities Limited 致富證券有限公司 |
Rep | Type 1 - Dealing in securities | 2004-11-12 | 2016-12-19 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Lim Pong Kwan 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.