Lee, Samuel Yan Ben (SFC:ANU564) 李仁本
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 securities | 2008-06-18 | 2012-04-03 | Rep | Automated trading services | 2008-11-05 | 2012-04-03 | Rep | Dealing in futures contracts | 2008-11-05 | 2012-04-03 |
| 2 | Credit Suisse Futures (Hong Kong) Limited | Rep | Automated trading services | 2008-07-24 | 2008-11-24 | Rep | Dealing in futures contracts | 2008-07-24 | 2008-11-24 |
| 3 | Credit Suisse Securities (Hong Kong) Limited | Rep | Dealing in securities | 2010-08-27 | 2012-04-03 |
| 4 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2012-07-11 | 2019-12-17 | RO | Dealing in securities | 2019-12-17 | 2020-06-20 |
| 5 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Automated trading services | 2013-08-01 | 2016-10-10 | Rep | Dealing in securities | 2013-08-01 | 2016-10-10 | Rep | Automated trading services | 2016-10-11 | 2019-12-17 | Rep | Dealing in securities | 2016-10-11 | 2019-12-17 | Rep | Dealing in futures contracts | 2016-10-11 | 2020-06-20 | RO | Automated trading services | 2019-12-17 | 2020-06-20 | RO | Dealing in securities | 2019-12-17 | 2020-06-20 |
| 6 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2012-07-11 | 2016-10-10 |
| 7 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on securities | 2006-08-24 | 2008-05-07 | Rep | Dealing in securities | 2006-08-24 | 2008-05-07 |
| 8 | Reciprocus Asset Management Limited | RO | Asset management | 2023-04-19 | 2024-02-05 |
| 9 | Zentific Investment Management Limited | Rep | Asset management | 2024-04-23 |
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