Steven Halim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Steven Halim ( ), a licensed former licensee with CE reference APZ209. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| LCA Solutions Limited | Rep | Type 1 — Dealing in securities | 2012-08-13 | 2021-01-07 |
| LCA Solutions Limited | Rep | Type 4 — Advising on securities | 2012-08-13 | 2021-01-07 |
| LCA Solutions Limited | Rep | Type 9 — Asset management | 2012-08-13 | 2021-01-07 |
| Sarasin Rabo Investment Management Limited 瑞士嘉盛萊寶投資管理有限公司 |
Rep | Type 1 — Dealing in securities | 2007-11-09 | 2009-08-22 |
| Sarasin Rabo Investment Management Limited 瑞士嘉盛萊寶投資管理有限公司 |
Rep | Type 4 — Advising on securities | 2007-11-09 | 2009-08-22 |