Lim Heng Tan
陳林興
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lim Heng Tan (陳林興), a licensed former licensee with CE reference AAC907. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Mason Securities Limited 茂宸證券有限公司 |
RO | Type 1 — Dealing in securities | present | 2016-02-16 |
| Principal Global Investors (Hong Kong) Limited 信安環球投資(香港)有限公司 |
RO | Type 1 — Dealing in securities | present | 2004-03-27 |
| Duncan Futures Limited 鄧肯期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | present | 2016-02-16 |
| Mason Securities Limited 茂宸證券有限公司 |
RO | Type 4 — Advising on securities | present | 2016-02-16 |
| Principal Global Investors (Hong Kong) Limited 信安環球投資(香港)有限公司 |
RO | Type 4 — Advising on securities | present | 2004-03-27 |
| Duncan Futures Limited 鄧肯期貨有限公司 |
RO | Type 5 — Advising on futures contracts | present | 2005-03-08 |
| Principal Global Investors (Hong Kong) Limited 信安環球投資(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | present | 2004-03-27 |
| Mason Securities Limited 茂宸證券有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2016-02-16 |
| Principal Global Investors (Hong Kong) Limited 信安環球投資(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2004-03-27 |
| Mason Securities Limited 茂宸證券有限公司 |
RO | Type 7 — Providing automated trading services | present | 2005-03-08 |
| Duncan Futures Limited 鄧肯期貨有限公司 |
RO | Type 9 — Asset management | present | 2005-03-08 |
| Mason Securities Limited 茂宸證券有限公司 |
RO | Type 9 — Asset management | present | 2005-03-08 |
| Principal Global Investors (Hong Kong) Limited 信安環球投資(香港)有限公司 |
RO | Type 9 — Asset management | present | 2004-03-27 |