Sen Ming Lim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sen Ming Lim, a licensed Responsible Officer with CE reference ATC356. Currently licensed at 1 firm(s): Grant Samuel (Hong Kong) Limited. Active regulated activities: Type 4 — Advising on securities; Type 6 — Advising on corporate finance. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Grant Samuel (Hong Kong) Limited 格勝(香港)有限公司 |
RO | Type 4 — Advising on securities | 2025-12-16 | present |
| Grant Samuel (Hong Kong) Limited 格勝(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2024-12-06 | present |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2022-01-07 | 2022-07-20 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2022-01-07 | 2022-07-20 |
| New Prospect Capital Limited 新域資本有限公司 |
RO | Type 1 — Dealing in securities | 2017-11-29 | 2018-06-01 |
| New Prospect Capital Limited 新域資本有限公司 |
RO | Type 4 — Advising on securities | 2017-11-29 | 2018-06-01 |
| Shining Capital Management Hong Kong Limited 尚心資本管理香港有限公司 |
RO | Type 9 — Asset management | 2014-11-20 | 2017-05-31 |
| Shining Capital Management Hong Kong Limited 尚心資本管理香港有限公司 |
Rep | Type 9 — Asset management | 2013-04-11 | 2014-11-20 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2011-07-20 | 2013-02-25 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 — Advising on corporate finance | 2011-07-20 | 2013-02-25 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-01-11 | 2011-04-14 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-01-11 | 2011-04-14 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-06-15 | 2009-12-10 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2009-06-15 | 2009-12-10 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-06-15 | 2009-12-10 |