Swee Tin Lisa Lim
林瑞珍
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Swee Tin Lisa Lim (林瑞珍), a licensed Responsible Officer with CE reference AGO376. Currently licensed at 1 firm(s): CFS Capital Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 25.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CFS Capital Limited 中金策資本有限公司 |
Rep | Type 9 — Asset management | 2025-12-10 | present |
| CFS Capital Limited 中金策資本有限公司 |
RO | Type 4 — Advising on securities | 2025-11-27 | present |
| CFS Capital Limited 中金策資本有限公司 |
Rep | Type 4 — Advising on securities | 2025-10-16 | 2025-11-27 |
| Vantage Capital Markets HK Limited | RO | Type 1 — Dealing in securities | 2024-07-15 | 2025-03-01 |
| Vantage Capital Markets HK Limited | RO | Type 4 — Advising on securities | 2024-02-19 | 2025-03-01 |
| Vantage Capital Markets HK Limited | RO | Type 6 — Advising on corporate finance | 2022-12-28 | 2025-03-01 |
| Vantage Capital Markets HK Limited | Rep | Type 4 — Advising on securities | 2022-12-21 | 2024-02-19 |
| Vantage Capital Markets HK Limited | Rep | Type 1 — Dealing in securities | 2022-02-07 | 2024-07-15 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2015-08-20 | 2022-01-21 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2015-08-20 | 2022-01-21 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2015-08-20 | 2022-01-21 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2015-01-13 | 2015-08-20 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-01-13 | 2015-08-20 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-01-13 | 2015-08-20 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2014-09-25 | 2015-01-02 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2010-12-21 | 2015-01-02 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-10-26 | 2015-01-02 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-10-26 | 2010-12-21 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-10-26 | 2015-01-02 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
RO | Type 1 — Dealing in securities | 2008-05-05 | 2010-10-20 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-08-17 | 2010-10-20 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2007-07-24 | 2008-05-05 |
| ABCI Securities Company Limited 農銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2005-11-15 | 2007-07-09 |
| Central China International Capital Limited 中州國際融資有限公司 |
RO | Type 1 — Dealing in securities | 2004-07-23 | 2005-10-28 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 |
RO | Type 1 — Dealing in securities | 2004-07-23 | 2005-10-28 |