Lee, Wai Man (SFC:ACR865) 李慧敏
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 | 313 Capital Management Limited | Rep | Advising on securities | 2013-03-22 | 2016-10-21 |
| 2 | EXCELLENT TIDE SECURITIES LIMITED | RO | Dealing in securities | 2016-10-11 | 2016-10-21 |
| 3 | PO SANG SECURITIES LIMITED | Rep | Dealing in futures contracts | 2016-11-18 | 2016-12-28 | Rep | Dealing in securities | 2016-11-18 | 2016-12-28 | RO | Dealing in futures contracts | 2016-12-28 | 2019-08-05 | RO | Dealing in securities | 2016-12-28 | 2019-08-05 | RO | Advising on futures contracts | 2016-12-30 | 2019-08-05 | RO | Advising on securities | 2016-12-30 | 2019-08-05 |
| 4 | RHB FUTURES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2005-12-01 | 2012-09-16 |
| 5 | RHB SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2005-12-01 | 2012-09-16 |
| 6 | SOUTH CHINA COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2012-09-28 | 2012-11-15 | RO | Dealing in futures contracts | 2012-11-15 | 2016-10-11 |
| 7 | South China Forex Limited | Rep | Leveraged foreign exchange trading | 2013-03-22 | 2016-10-11 |
| 8 | SOUTH CHINA SECURITIES LIMITED | Rep | Dealing in securities | 2012-09-28 | 2012-11-15 | RO | Dealing in securities | 2012-11-15 | 2016-10-11 |
| 9 | UOB KAY HIAN (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2004-03-02 | Rep | Advising on securities | 2004-03-02 | Rep | Dealing in securities | 2005-11-30 |
| 10 | UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2005-11-30 |
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