Sung Yin Lee
李崇賢
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sung Yin Lee (李崇賢), a licensed Responsible Officer with CE reference ABF791. Currently licensed at 1 firm(s): Upmax Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 9 — Asset management. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Upmax Securities Limited 晉億證券有限公司 |
Rep | Type 9 — Asset management | 2021-07-08 | present |
| Upmax Securities Limited 晉億證券有限公司 |
RO | Type 1 — Dealing in securities | 2021-03-02 | present |
| Upmax Securities Limited 晉億證券有限公司 |
Rep | Type 1 — Dealing in securities | 2021-01-29 | 2021-03-02 |
| Wealthy Securities Limited 永裕證劵有限公司 |
Rep | Type 4 — Advising on securities | 2018-06-29 | 2020-09-30 |
| Wealthy Securities Limited 永裕證劵有限公司 |
Rep | Type 9 — Asset management | 2018-06-29 | 2020-09-30 |
| Wealthy Securities Limited 永裕證劵有限公司 |
RO | Type 1 — Dealing in securities | 2018-01-25 | 2020-09-30 |
| Wealthy Securities Limited 永裕證劵有限公司 |
Rep | Type 1 — Dealing in securities | 2017-08-11 | 2018-01-25 |
| AIF Securities Limited 亞投證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-01-17 | 2017-02-12 |
| AIF Securities Limited 亞投證券有限公司 |
RO | Type 1 — Dealing in securities | 2006-09-08 | 2017-01-17 |
| AIF Securities Limited 亞投證券有限公司 |
Rep | Type 1 — Dealing in securities | 2005-10-20 | 2006-09-08 |
| Beta International Securities Limited 貝塔國際證券有限公司 |
RO | Type 1 — Dealing in securities | present | 2005-06-20 |
| Beta International Securities Limited 貝塔國際證券有限公司 |
RO | Type 4 — Advising on securities | present | 2004-10-04 |
| Beta International Securities Limited 貝塔國際證券有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2004-10-04 |
| Beta International Securities Limited 貝塔國際證券有限公司 |
RO | Type 9 — Asset management | present | 2004-10-04 |