Lim Pong Kwan
關念邦
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lim Pong Kwan (關念邦), a licensed Responsible Officer with CE reference ALL139. Currently licensed at 1 firm(s): Minmetals Financial Services Limited. Active regulated activities: Type 2 — Dealing in futures contracts; Type 5 — Advising on futures contracts. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Minmetals Financial Services Limited 五礦金融服務有限公司 |
RO | Type 2 — Dealing in futures contracts | 2018-10-08 | present |
| Minmetals Financial Services Limited 五礦金融服務有限公司 |
RO | Type 5 — Advising on futures contracts | 2018-10-08 | present |
| Xin Hua Securities (Hong Kong) Limited 新華證券(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2016-12-23 | 2017-03-27 |
| Xin Hua Securities (Hong Kong) Limited 新華證券(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | 2016-12-23 | 2017-03-27 |
| Chief Securities Limited 致富證券有限公司 |
Rep | Type 4 — Advising on securities | 2016-05-12 | 2016-12-19 |
| Chief Commodities Limited 致富期貨商品有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-11-14 | 2016-12-19 |
| Chief Securities Limited 致富證券有限公司 |
Rep | Type 1 — Dealing in securities | 2004-11-12 | 2016-12-19 |