Lim, Clio Wan Yue 林尹瑜
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2006-07-11 | 2010-09-03 |
| 2 | Merrill Lynch Far East Limited | Rep | Dealing in futures contracts | 2010-09-03 | 2012-08-11 |
| 3 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2006-07-11 | 2012-08-11 | Rep | Advising on securities | 2011-11-03 | 2012-08-11 |
| 4 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2012-10-25 | 2016-10-10 |
| 5 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in futures contracts | 2016-10-11 | 2018-12-06 |
| 6 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Asset management | 2012-10-25 | 2018-12-06 | Rep | Dealing in securities | 2012-10-25 | 2018-12-06 |
| 7 | DAINTREE PARTNERS LIMITED | RO | Advising on securities | 2019-04-02 | RO | Asset management | 2019-04-02 | RO | Dealing in securities | 2019-04-02 |
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