John Chen Kwok Lee
李鎮國
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for John Chen Kwok Lee (李鎮國), a licensed Responsible Officer with CE reference ACI535. Currently licensed at 1 firm(s): UBS Securities Hong Kong Limited. Active regulated activities: Type 6 — Advising on corporate finance. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Hong Kong Limited | RO | Type 6 — Advising on corporate finance | 2017-07-27 | present |
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | 2017-03-08 | 2017-07-27 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 — Dealing in securities | 2005-06-06 | 2016-12-01 |
| Merrill Lynch Far East Limited | RO | Type 1 — Dealing in securities | 2005-06-06 | 2016-12-01 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 4 — Advising on securities | 2005-06-06 | 2016-12-01 |
| Merrill Lynch Far East Limited | RO | Type 4 — Advising on securities | 2005-06-06 | 2016-12-01 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 6 — Advising on corporate finance | 2005-06-06 | 2016-12-01 |
| Merrill Lynch Far East Limited | RO | Type 6 — Advising on corporate finance | 2005-06-06 | 2016-12-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | present | 2005-06-06 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | present | 2005-06-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | present | 2005-06-06 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | present | 2005-06-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | present | 2005-06-06 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | present | 2005-06-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 — Providing automated trading services | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 — Asset management | present | 2005-01-25 |
| Merrill Lynch Far East Limited | Rep | Type 9 — Asset management | present | 2005-01-25 |