Kenneth Kar Ming Lee
李嘉明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kenneth Kar Ming Lee (李嘉明), a licensed Responsible Officer with CE reference AED932. Currently licensed at 1 firm(s): Mizuho Securities Asia Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 6 — Advising on corporate finance. Total licence records on file: 11.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Advising on corporate finance →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2020-11-25 | present |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
RO | Type 4 — Advising on securities | 2020-11-25 | present |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2020-11-25 | present |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2020-09-10 | 2020-11-25 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2020-09-10 | 2020-11-25 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2020-09-10 | 2020-11-25 |
| Natixis Asia Limited | Rep | Type 1 — Dealing in securities | 2017-04-05 | 2020-06-16 |
| Natixis Asia Limited | Rep | Type 4 — Advising on securities | 2017-04-05 | 2020-06-16 |
| Big Bay Asset Management (HK) Limited 大灣資產管理(香港)有限公司 |
RO | Type 9 — Asset management | 2013-09-19 | 2017-03-14 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2013-03-20 | 2013-06-05 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2013-03-20 | 2013-06-05 |