Sally Kwan Lay Lim
林冠麗
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sally Kwan Lay Lim (林冠麗), a licensed Responsible Officer with CE reference AFV377. Currently licensed at 1 firm(s): Brooke Capital Limited. Active regulated activities: Type 9 - Asset management. This person has 23.2 years of SFC licence history. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Brooke Capital Limited | RO | Type 9 - Asset management | 2013-08-01 | present |
| Brooke Capital Limited | Rep | Type 9 - Asset management | 2012-10-09 | 2013-08-01 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2010-07-05 | 2012-08-02 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2010-07-05 | 2012-08-02 |
| LGT Investment Management (Asia) Limited | Rep | Type 1 - Dealing in securities | 2008-04-28 | 2010-06-18 |
| LGT Investment Management (Asia) Limited | Rep | Type 4 - Advising on securities | 2008-04-28 | 2010-06-18 |
| LGT Investment Management (Asia) Limited | Rep | Type 9 - Asset management | 2008-04-28 | 2010-06-18 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2008-01-28 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2008-01-28 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-02-11 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-02-11 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2008-01-28 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 - Providing automated trading services | Pre-2003 | 2008-01-28 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Sally Kwan Lay 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.