Nicola Lim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicola Lim, a licensed Representative with CE reference ANZ788. Currently licensed at 1 firm(s): Merrill Lynch Far East Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2016-05-03 | present |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2016-05-03 | present |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2016-05-03 | 2018-12-19 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2016-04-18 | 2016-04-22 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2016-04-18 | 2016-04-22 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2016-04-18 | 2016-04-22 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2010-09-06 | 2011-09-16 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2006-09-22 | 2011-09-16 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2006-09-22 | 2011-09-16 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2006-09-22 | 2010-09-06 |