Lim, Sen Ming
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 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Advising on corporate finance | 2011-07-20 | 2013-02-25 | Rep | Dealing in securities | 2011-07-20 | 2013-02-25 |
| 2 | Morgan Stanley Asia Limited | Rep | Advising on corporate finance | 2010-01-11 | 2011-04-14 | Rep | Dealing in securities | 2010-01-11 | 2011-04-14 | Rep | Advising on corporate finance | 2022-01-07 | 2022-07-20 | Rep | Dealing in securities | 2022-01-07 | 2022-07-20 |
| 3 | NEW PROSPECT CAPITAL LIMITED | RO | Advising on securities | 2017-11-29 | 2018-06-01 | RO | Dealing in securities | 2017-11-29 | 2018-06-01 |
| 4 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2009-06-15 | 2009-12-10 | Rep | Advising on securities | 2009-06-15 | 2009-12-10 | Rep | Dealing in securities | 2009-06-15 | 2009-12-10 |
| 5 | SHINING CAPITAL MANAGEMENT HONG KONG LIMITED | Rep | Asset management | 2013-04-11 | 2014-11-20 | RO | Asset management | 2014-11-20 | 2017-05-31 |
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