Joseph Wau Chi Lee
李會智
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Joseph Wau Chi Lee (李會智), a licensed Representative with CE reference AAC009. Currently licensed at 1 firm(s): BOCOM International Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-06-01 | present |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-06-01 | present |
| OCBC Futures Investment (Hong Kong) Limited 華僑期貨投資(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2007-01-08 | 2017-01-01 |
| OCBC Securities Brokerage (Hong Kong) Limited 華僑證券經紀(香港)有限公司 |
RO | Type 1 — Dealing in securities | present | 2017-01-01 |
| OCBC Securities Brokerage (Hong Kong) Limited 華僑證券經紀(香港)有限公司 |
RO | Type 4 — Advising on securities | present | 2003-11-08 |
| OCBC Securities Brokerage (Hong Kong) Limited 華僑證券經紀(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2003-11-08 |
| OCBC Securities Brokerage (Hong Kong) Limited 華僑證券經紀(香港)有限公司 |
RO | Type 7 — Providing automated trading services | present | 2003-07-21 |
| OCBC Securities Brokerage (Hong Kong) Limited 華僑證券經紀(香港)有限公司 |
RO | Type 9 — Asset management | present | 2003-11-08 |