Simon Siu Ming Lee
李紹明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Simon Siu Ming Lee (李紹明), a licensed former licensee with CE reference ADK017. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CCB International Capital Limited 建銀國際金融有限公司 |
RO | Type 4 — Advising on securities | 2014-04-11 | 2023-08-31 |
| CCB International Capital Limited 建銀國際金融有限公司 |
RO | Type 1 — Dealing in securities | 2006-07-14 | 2023-08-31 |
| CCB International Capital Limited 建銀國際金融有限公司 |
RO | Type 6 — Advising on corporate finance | 2006-07-14 | 2023-08-31 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 1 — Dealing in securities | 2006-06-28 | 2006-07-14 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-06-28 | 2006-07-14 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
RO | Type 1 — Dealing in securities | present | 2006-06-16 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
RO | Type 4 — Advising on securities | present | 2006-06-16 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2006-06-16 |