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LIM, LINA POH IMM

林宝音
HKMA AG3509HKMA Relevant IndividualCurrently registeredExecutive Officer
Official HKMA record

LIM, LINA POH IMM (HKMA registration number AG3509) is a relevant individual on the HKMA Register of Securities Staff of Authorized Institutions. Currently registered to carry on regulated activities at HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE). Has been engaged at 2 authorized institutions over time.

Current Registration (3)

Registered InstitutionRegulated ActivityExec. OfficerCapacityFirst engaged
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)RA 1 Type 1: dealing in securitiesNoHEAD OF FUNDS & DISCRETIONARY, HONG KONG2019-08-26
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)RA 4 Type 4: advising on securitiesNoHEAD OF FUNDS & DISCRETIONARY, HONG KONG2019-08-26
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)RA 9 Type 9: asset managementYesHEAD OF FUNDS & DISCRETIONARY, HONG KONG2019-08-26

Business Address

Registered InstitutionSFC CE No.Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)AAA5231 QUEEN'S ROAD CENTRAL, HONG KONG.

Conditions

Registered Institution Effective Date Description 1 Registered Institution HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE) Effective Date 21 Oct 2020 --> Description --> For Type 9 regulated activity, the Executive Officer shall not provide a service of managing a portfolio of futures contracts for another person unless it is for hedging purpose only.

Registration History (9)

2020-10-21 – present Current
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE) Executive Officer
RA 9
2019-08-26 – present Current
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
RA 1 RA 4
2017-09-14 – present Current
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
RA 1 RA 4
2017-08-23 – present Current
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
RA 1 RA 4
2020-12-01 – 2022-01-31
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
RA 5
2019-08-26 – 2020-10-20
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
RA 9
2019-01-09 – 2019-05-24
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
RA 1 RA 4 RA 9
2018-10-24 – 2018-10-26
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
RA 1 RA 4
2016-11-28 – 2016-12-02
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
RA 1

Data referenced from the HKMA public "Register of Securities Staff of Authorized Institutions" — for reference only.
Official record：apps.hkma.gov.hk · JSON API：/api/hkma/AG3509