Steven Wai Lee
李威
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Steven Wai Lee (李威), a licensed former licensee with CE reference ADW512. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China International Capital Corporation Hong Kong Asset Management Limited 中國國際金融香港資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2011-02-02 | 2013-09-06 |
| China International Capital Corporation Hong Kong Asset Management Limited 中國國際金融香港資產管理有限公司 |
Rep | Type 9 — Asset management | 2011-02-02 | 2013-09-06 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 1 — Dealing in securities | 2010-04-19 | 2013-09-06 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-11-27 | 2010-04-19 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2005-03-11 | 2009-02-27 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-03-11 | 2009-02-27 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-03-13 |
| Jefferies Bache (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | present | 2004-03-13 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-03-13 |
| Jefferies Bache (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | present | 2004-03-13 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-03-13 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-03-13 |
| Jefferies Bache (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2004-03-13 |