Lee, Joseph Won
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 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in futures contracts | 2018-11-01 | 2020-03-04 | Rep | Dealing in securities | 2018-11-01 | 2020-03-04 | RO | Advising on securities | 2020-03-04 | 2023-10-26 | RO | Dealing in futures contracts | 2020-03-04 | 2023-10-26 | RO | Dealing in securities | 2020-03-04 | 2023-10-26 |
| 2 | Credit Suisse Securities (Hong Kong) Limited | Rep | Automated trading services | 2018-11-01 | 2020-03-04 | Rep | Dealing in securities | 2018-11-01 | 2020-03-04 | RO | Advising on securities | 2020-03-04 | 2023-10-26 | RO | Automated trading services | 2020-03-04 | 2023-10-26 | RO | Dealing in securities | 2020-03-04 | 2023-10-26 |
| 3 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2006-02-20 | 2007-06-15 |
| 4 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2006-02-20 | 2007-06-15 |
| 5 | HSBC SECURITIES BROKERS (ASIA) LIMITED | Rep | Dealing in securities | 2024-02-08 | |
| 6 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in futures contracts | 2007-10-02 | 2008-09-29 | Rep | Dealing in securities | 2007-10-02 | 2008-09-29 |
| 7 | LEHMAN BROTHERS FUTURES ASIA LIMITED | Rep | Dealing in futures contracts | 2007-10-02 | 2008-09-29 |
| 8 | LEHMAN BROTHERS SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2007-10-02 | 2008-09-29 |
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