Wah Sai Lim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wah Sai Lim, a licensed Responsible Officer with CE reference ABM528. Currently licensed at 3 firm(s): Phillip Securities (Hong Kong) Limited, Phillip Commodities (HK) Limited, Phillip Capital Management (HK) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 3 — Leveraged foreign exchange trading; Type 4 — Advising on securities; Type 5 — Advising on futures contracts; Type 9 — Asset management. Total licence records on file: 12.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Leveraged foreign exchange trading →More firms doing Advising on securities →More firms doing Advising on futures contracts →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
RO | Type 9 — Asset management | 2007-05-02 | present |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
RO | Type 3 — Leveraged foreign exchange trading | 2003-12-09 | present |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | present | present |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | present | present |
| Phillip Capital Management (HK) Limited 輝立資本管理(香港)有限公司 |
RO | Type 4 — Advising on securities | present | present |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
RO | Type 4 — Advising on securities | present | present |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | present | present |
| Phillip Capital Management (HK) Limited 輝立資本管理(香港)有限公司 |
RO | Type 9 — Asset management | present | present |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2003-10-30 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
RO | Type 7 — Providing automated trading services | present | 2003-08-15 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
RO | Type 9 — Asset management | present | 2003-10-30 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
RO | Type 9 — Asset management | present | 2003-10-30 |