Siu Ming Lee
李小明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Ming Lee (李小明), a licensed Representative with CE reference AFH445. Currently licensed at 1 firm(s): Natixis Asia Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Natixis Asia Limited | Rep | Type 1 — Dealing in securities | 2022-08-22 | present |
| Natixis Asia Limited | Rep | Type 4 — Advising on securities | 2022-08-22 | present |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-05-15 | 2016-02-17 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-05-15 | 2016-02-17 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-09-03 | 2008-06-20 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-09-03 | 2008-06-20 |
| BNP Paribas Capital (Asia Pacific) Limited 法國巴黎資本(亞太)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2004-07-07 | 2006-05-19 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2003-11-12 | 2004-07-07 |
| RHB Capital Hong Kong Limited 興業金融融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2003-08-13 | 2003-10-22 |
| BNP Paribas Capital (Asia Pacific) Limited 法國巴黎資本(亞太)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-07-23 |