Siu Lun Lee
李兆麟
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Lun Lee (李兆麟), a licensed Responsible Officer with CE reference ABN376. Currently licensed at 3 firm(s): KGI Asia Limited, KGI Capital Asia Limited, KGI Futures (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities; Type 5 — Advising on futures contracts. Total licence records on file: 45.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →More firms doing Advising on futures contracts →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KGI Asia Limited 凱基證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2017-10-03 | present |
| KGI Asia Limited 凱基證券亞洲有限公司 |
RO | Type 4 — Advising on securities | 2017-10-03 | present |
| KGI Capital Asia Limited 凱基金融亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2013-07-26 | present |
| KGI Capital Asia Limited 凱基金融亞洲有限公司 |
RO | Type 4 — Advising on securities | 2013-04-18 | present |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2008-10-03 | present |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | 2008-10-03 | present |
| Grand Cathay Securities (Hong Kong) Limited 大華證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-10-15 | 2017-09-01 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
RO | Type 1 — Dealing in securities | 2010-03-08 | 2017-10-02 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2008-10-03 | 2017-10-02 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2008-10-03 | 2017-10-02 |
| Aisance Asset Management Limited 君達資產管理有限公司 |
RO | Type 2 — Dealing in futures contracts | 2008-10-03 | 2013-02-22 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
RO | Type 4 — Advising on securities | 2008-10-03 | 2017-10-02 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2008-10-03 | 2017-10-02 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2008-08-04 | 2008-10-03 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-08-04 | 2008-10-03 |
| Aisance Asset Management Limited 君達資產管理有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-08-04 | 2008-10-03 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-08-04 | 2008-10-03 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2008-08-04 | 2008-10-03 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-08-04 | 2008-10-03 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2008-08-04 | 2008-10-03 |
| Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 |
RO | Type 1 — Dealing in securities | 2007-12-18 | 2008-07-11 |
| Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 |
RO | Type 2 — Dealing in futures contracts | 2007-12-18 | 2008-07-11 |
| Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 |
RO | Type 4 — Advising on securities | 2007-12-18 | 2008-07-11 |
| Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 |
RO | Type 5 — Advising on futures contracts | 2007-12-18 | 2008-07-11 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
RO | Type 4 — Advising on securities | 2003-12-23 | 2007-10-28 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2003-12-23 | 2007-10-28 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | 2003-12-23 | 2007-10-28 |
| Aisance Asset Management Limited 君達資產管理有限公司 |
RO | Type 2 — Dealing in futures contracts | 2003-06-30 | 2007-10-28 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2003-06-26 | 2007-10-28 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2003-06-26 | 2007-10-28 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2003-06-26 | 2007-10-28 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
RO | Type 7 — Providing automated trading services | 2003-06-26 | 2003-07-21 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
RO | Type 7 — Providing automated trading services | 2003-06-26 | 2003-07-21 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-06-26 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-06-26 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2003-06-26 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-06-26 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-06-26 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-06-26 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-06-26 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-06-26 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-06-26 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2003-06-26 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-06-26 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-06-26 |