Sai Yin Lee
李世賢
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sai Yin Lee (李世賢), a licensed former licensee with CE reference AFN905. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Schroder Investment Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2018-05-02 | 2022-06-10 |
| Schroder Investment Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2018-05-02 | 2022-06-10 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2007-10-02 | 2018-05-02 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2007-10-02 | 2018-05-02 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2007-10-02 | 2022-06-10 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
RO | Type 1 — Dealing in securities | 2006-09-23 | 2007-09-08 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 1 — Dealing in securities | 2006-09-23 | 2007-09-08 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
RO | Type 4 — Advising on securities | 2006-09-23 | 2007-09-08 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 4 — Advising on securities | 2006-09-23 | 2007-09-08 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
RO | Type 9 — Asset management | 2006-09-23 | 2007-09-08 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 9 — Asset management | 2006-09-23 | 2007-09-08 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 1 — Dealing in securities | 2006-08-02 | 2006-09-23 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 1 — Dealing in securities | 2006-08-02 | 2006-09-23 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 4 — Advising on securities | 2006-08-02 | 2006-09-23 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 4 — Advising on securities | 2006-08-02 | 2006-09-23 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 9 — Asset management | 2006-08-02 | 2006-09-23 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 9 — Asset management | 2006-08-02 | 2006-09-23 |
| Allianz Global Investors Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2005-04-08 | 2006-07-08 |
| Allianz Global Investors Hong Kong Limited | Rep | Type 4 — Advising on securities | present | 2005-03-03 |
| Allianz Global Investors Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | present | 2005-03-03 |
| Allianz Global Investors Hong Kong Limited | Rep | Type 9 — Asset management | present | 2006-07-08 |