Ken Cham Chung Lee
李湛聰
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ken Cham Chung Lee (李湛聰), a licensed former licensee with CE reference ADU738. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
RO | Type 1 — Dealing in securities | 2006-09-18 | 2009-01-20 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2006-09-18 | 2009-01-20 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
RO | Type 5 — Advising on futures contracts | 2006-09-18 | 2009-01-20 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2006-08-22 | 2006-09-18 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2006-04-01 | 2006-09-18 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-04-01 | 2006-09-18 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
RO | Type 1 — Dealing in securities | 2005-04-29 | 2006-04-01 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2005-04-29 | 2006-04-01 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | present | 2005-04-29 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2005-04-29 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 — Advising on securities | present | 2004-10-12 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-10-12 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-10-12 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 — Asset management | present | 2004-10-12 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2004-10-12 |