SFC Licences of LIM Kwan Lay, Sally 林冠麗
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
Brooke Capital Limited | RO | 9 | 01 August 2013 | |
Brooke Capital Limited | RE | 9 | 09 October 2012 | 01 August 2013 |
UBS Securities Asia Limited | RE | 2 | 05 July 2010 | 02 August 2012 |
UBS Securities Asia Limited | RE | 1 | 05 July 2010 | 02 August 2012 |
LGT Investment Management (Asia) Limited | RE | 9 | 28 April 2008 | 18 June 2010 |
LGT Investment Management (Asia) Limited | RE | 4 | 28 April 2008 | 18 June 2010 |
LGT Investment Management (Asia) Limited | RE | 1 | 28 April 2008 | 18 June 2010 |
Morgan Stanley Hong Kong Futures Limited | RE | 7 | 01 April 2003 | 28 January 2008 |
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 1 | 01 April 2003 | 28 January 2008 |
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 7 | 01 April 2003 | 28 January 2008 |
Morgan Stanley Hong Kong Futures Limited | RE | 2 | 01 April 2003 | 28 January 2008 |
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 6 | 01 April 2003 | 11 February 2004 |
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 4 | 01 April 2003 | 11 February 2004 |