Soo Hai Lim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Soo Hai Lim, a licensed Responsible Officer with CE reference AMR299. Currently licensed at 1 firm(s): Baring Asset Management (Asia) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities; Type 5 — Advising on futures contracts; Type 9 — Asset management. Total licence records on file: 9.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →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 |
|---|---|---|---|---|
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2018-09-11 | present |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2018-09-11 | present |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
RO | Type 4 — Advising on securities | 2018-09-11 | present |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
RO | Type 5 — Advising on futures contracts | 2018-09-11 | present |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
RO | Type 9 — Asset management | 2018-09-11 | present |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-06-02 | 2018-09-11 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2007-05-15 | 2018-09-11 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2006-06-23 | 2018-09-11 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | 2005-11-07 | 2018-09-11 |