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), CE reference AFV377. Currently licensed at 1 firm(s): Brooke Capital Limited. 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 | present | 2008-01-28 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | present | 2008-01-28 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 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 | present | 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 | present | 2008-01-28 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | present | 2008-01-28 |