Sally Kwan Lay Lim
林冠麗
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sally Kwan Lay Lim (林冠麗), a licensed Responsible Officer with CE reference AFV377. Currently licensed at 1 firm(s): Brooke Capital Limited. Active regulated activities: Type 9 — Asset management. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Brooke Capital Limited |
RO | Type 9 — Asset management | 2013-08-01 | present |
| Brooke Capital Limited |
Rep | Type 9 — Asset management | 2012-10-09 | 2013-08-01 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2010-07-05 | 2012-08-02 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2010-07-05 | 2012-08-02 |
| LGT Investment Management (Asia) Limited | Rep | Type 1 — Dealing in securities | 2008-04-28 | 2010-06-18 |
| LGT Investment Management (Asia) Limited | Rep | Type 4 — Advising on securities | 2008-04-28 | 2010-06-18 |
| LGT Investment Management (Asia) Limited | Rep | Type 9 — Asset management | 2008-04-28 | 2010-06-18 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2008-01-28 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | present | 2008-01-28 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-02-11 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-02-11 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2008-01-28 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | present | 2008-01-28 |