Lee, Joyce Wan Siu 李韻韶
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 | CHARLES SCHWAB, HONG KONG, LIMITED | Rep | Advising on securities | 2017-06-20 | 2019-03-29 | Rep | Dealing in securities | 2017-06-20 | 2019-03-29 | Rep | Advising on securities | 2019-11-05 | 2022-03-31 | Rep | Dealing in securities | 2019-11-05 | 2022-03-31 |
2 | ETRADE SECURITIES (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2004-01-05 | Rep | Asset management | 2004-01-05 | Rep | Automated trading services | 2004-01-05 | Rep | Advising on securities | 2016-03-10 | Rep | Dealing in securities | 2016-03-10 | Rep | Leveraged foreign exchange trading | 2006-04-28 | 2010-11-01 |
3 | ETRADE SECURITIES LIMITED | Rep | Advising on corporate finance | 2004-01-05 | Rep | Asset management | 2004-01-05 | Rep | Automated trading services | 2004-01-05 | Rep | Advising on securities | 2007-10-31 | Rep | Dealing in securities | 2007-10-31 |
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