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LIM Swee Tin Lisa

林瑞珍
CE AGO376Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LIM Swee Tin Lisa (CE number AGO376) is an individual licensed by the Hong Kong SFC. First licensed on 2004-07-23. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerCFS Capital Limited
中金策資本有限公司
RepresentativeCFS Capital Limited
中金策資本有限公司

Licence Record (16)

2025-11-27 – present Current
CFS Capital Limited RO
RA 4
2025-10-16 – present Current
CFS Capital Limited Rep
RA 4 RA 9
2022-12-28 – 2025-03-01
Vantage Capital Markets HK Limited RO
RA 1 RA 4 RA 6
2022-02-07 – 2024-07-15
Vantage Capital Markets HK Limited Rep
RA 1 RA 4
2015-08-20 – 2022-01-21
BOCI Asia Limited RO
RA 1 RA 6
2015-08-20 – 2022-01-21
BOCI Securities Limited RO
RA 1
2015-01-13 – 2015-08-20
BOCI Asia Limited Rep
RA 1 RA 6
2015-01-13 – 2015-08-20
BOCI Securities Limited Rep
RA 1
2010-12-21 – 2015-01-02
BOCOM International Securities Limited RO
RA 1
2010-10-26 – 2015-01-02
BOCOM International (Asia) Limited Rep
RA 1 RA 6
2010-10-26 – 2015-01-02
BOCOM International Securities Limited Rep
RA 1 RA 4
2008-05-05 – 2010-10-20
Daiwa Capital Markets Hong Kong Limited RO
RA 1
2007-07-24 – 2010-10-20
Daiwa Capital Markets Hong Kong Limited Rep
RA 1 RA 6
2005-11-15 – 2007-07-09
ABCI Securities Company Limited RO
RA 1
2004-07-23 – 2005-10-28
Central China International Capital Limited RO
RA 1
2004-07-23 – 2005-10-28
SBI China Capital Securities Limited RO
RA 1

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AGO376