Lee, Steven Wai 李威
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 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2011-02-02 | 2013-09-06 | Rep | Asset management | 2011-02-02 | 2013-09-06 |
| 2 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | Dealing in securities | 2009-11-27 | 2010-04-19 | RO | Dealing in securities | 2010-04-19 | 2013-09-06 |
| 3 | FT Securities Limited | Rep | Advising on corporate finance | 2004-03-13 | Rep | Advising on securities | 2004-03-13 | Rep | Asset management | 2004-03-13 | Rep | Dealing in securities | 2004-03-13 |
| 4 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2005-03-11 | 2009-02-27 |
| 5 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2005-03-11 | 2009-02-27 |
| 6 | JEFFERIES BACHE (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2004-03-13 | Rep | Asset management | 2004-03-13 | Rep | Dealing in futures contracts | 2004-03-13 |
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