Li Woon Lim
林立文
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Li Woon Lim (林立文), a licensed former licensee with CE reference AFV260. This person has 8.1 years of SFC licence history. Total licence records on file: 8.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2010-09-07 | 2011-05-09 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 - Dealing in securities | 2009-01-09 | 2011-05-09 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2007-10-08 | 2010-09-07 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2009-01-09 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 - Providing automated trading services | Pre-2003 | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2005-01-25 |