Lee, Steven Wai 李威

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

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