CHARLES-LIM CAPITAL LIMITED

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Activity type: AllAdvising on corporate financeAdvising on futures contractsAdvising on securitiesAsset managementAutomated trading servicesClient clearing services for OTC derivative transactionsCredit rating servicesDealing in futures contractsDealing in or advising on OTC derivative productsDealing in securitiesDepositary services for relevant CISsLeveraged foreign exchange tradingSecurities margin financing

SFC licensees

RO=Responsible Officer, Rep=Representative

	Name	Age in 2015	⚥	SFC ID	Role	From	Until
1	Charles, Keiren			AUV598	RO	2010-03-31
2	Lim, Shueh Yung			AUV601	RO	2010-03-31
3	Wang, Lixiao 王黎晓			BDC360	Rep	2014-04-07	2015-06-28
4	Wang, Rui (SFC:BFZ379) 王睿			BFZ379	Rep	2015-08-28	2016-07-22
5	Yip, Ka Man (SFC:AVK955) 葉家旻			AVK955	Rep	2013-01-14	2015-07-03
6	Yip, Shiu Lun 葉兆麟			AOB531	Rep	2015-05-19	2020-05-06

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