Siu Yuen (SFC:AFF121) Lee
李紹遠
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Yuen (SFC:AFF121) Lee (李紹遠), a licensed former licensee with CE reference AFF121. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-10-02 | 2015-11-02 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-01-11 | 2013-04-12 |
| Tai Shing Stock Investment Co. Limited 大盛証券投資有限公司 |
Rep | Type 1 — Dealing in securities | present | 2011-01-02 |
| Tai Shing Stock Investment Co. Limited 大盛証券投資有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-04-08 |
| Tai Shing Stock Investment Co. Limited 大盛証券投資有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-09-01 |
| Tai Shing Stock Investment Co. Limited 大盛証券投資有限公司 |
Rep | Type 9 — Asset management | present | 2003-09-01 |