Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIM, ENG SOON
Chinese Name of Relevant Individual
HKMA Registration Number
AG0331
Current Registration
Not Applicable
Business Address
Not Applicable
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Mar 2016 - 25 Mar 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Sep 2015 - 11 Sep 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Sep 2014 - 03 Oct 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Aug 2014 - 26 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
RBC CAPITAL MARKETS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Jul 2013 - 17 Jul 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Jul 2013 - 17 Jul 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
LIM, ENG SOON
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG0331
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0331
ROYAL BANK OF CANADA
Type 1: dealing in securities
14 Mar 2016 - 25 Mar 2016
No
AG0331
ROYAL BANK OF CANADA
Type 1: dealing in securities
03 Sep 2015 - 11 Sep 2015
No
AG0331
ROYAL BANK OF CANADA
Type 1: dealing in securities
22 Sep 2014 - 03 Oct 2014
No
AG0331
ROYAL BANK OF CANADA
Type 1: dealing in securities
12 Aug 2014 - 26 Aug 2014
No
AG0331
RBC CAPITAL MARKETS (HONG KONG) LIMITED
Type 1: dealing in securities
15 Jul 2013 - 17 Jul 2013
No
AG0331
ROYAL BANK OF CANADA
Type 1: dealing in securities
15 Jul 2013 - 17 Jul 2013
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.