Swee Tin Lisa Lim
林瑞珍
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Swee Tin Lisa Lim (林瑞珍), CE reference AGO376. Currently licensed at 1 firm(s): CFS Capital Limited. Total licence records on file: 25.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CFS Capital Limited 中金策資本有限公司 |
Rep | Type 9 — Asset management | 2025-12-10 | present |
| CFS Capital Limited 中金策資本有限公司 |
RO | Type 4 — Advising on securities | 2025-11-27 | present |
| CFS Capital Limited 中金策資本有限公司 |
Rep | Type 4 — Advising on securities | 2025-10-16 | 2025-11-27 |
| Vantage Capital Markets HK Limited | RO | Type 1 — Dealing in securities | 2024-07-15 | 2025-03-01 |
| Vantage Capital Markets HK Limited | RO | Type 4 — Advising on securities | 2024-02-19 | 2025-03-01 |
| Vantage Capital Markets HK Limited | RO | Type 6 — Advising on corporate finance | 2022-12-28 | 2025-03-01 |
| Vantage Capital Markets HK Limited | Rep | Type 4 — Advising on securities | 2022-12-21 | 2024-02-19 |
| Vantage Capital Markets HK Limited | Rep | Type 1 — Dealing in securities | 2022-02-07 | 2024-07-15 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2015-08-20 | 2022-01-21 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2015-08-20 | 2022-01-21 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2015-08-20 | 2022-01-21 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2015-01-13 | 2015-08-20 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-01-13 | 2015-08-20 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-01-13 | 2015-08-20 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2014-09-25 | 2015-01-02 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2010-12-21 | 2015-01-02 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-10-26 | 2015-01-02 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-10-26 | 2010-12-21 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-10-26 | 2015-01-02 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
RO | Type 1 — Dealing in securities | 2008-05-05 | 2010-10-20 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-08-17 | 2010-10-20 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2007-07-24 | 2008-05-05 |
| ABCI Securities Company Limited 農銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2005-11-15 | 2007-07-09 |
| Central China International Capital Limited 中州國際融資有限公司 |
RO | Type 1 — Dealing in securities | 2004-07-23 | 2005-10-28 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 |
RO | Type 1 — Dealing in securities | 2004-07-23 | 2005-10-28 |