Andrew Shu Yan Lee
李樹仁
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Andrew Shu Yan Lee (李樹仁), a licensed Responsible Officer with CE reference AFP239. Currently licensed at 2 firm(s): China Harbour International Securities Limited, China Harbour International Asset Management Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 41.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Harbour International Securities Limited 中灣國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2026-01-09 | present |
| China Harbour International Asset Management Limited 中灣國際資產管理有限公司 |
RO | Type 4 — Advising on securities | 2026-01-09 | present |
| China Harbour International Asset Management Limited 中灣國際資產管理有限公司 |
RO | Type 9 — Asset management | 2026-01-09 | present |
| China Harbour International Securities Limited 中灣國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2025-11-25 | 2026-01-09 |
| China Harbour International Asset Management Limited 中灣國際資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2025-11-25 | 2026-01-09 |
| China Harbour International Asset Management Limited 中灣國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2025-11-25 | 2026-01-09 |
| Sinohope Asset Management (Hong Kong) Limited 新火資產管理（香港）有限公司 |
RO | Type 1 — Dealing in securities | 2024-12-20 | 2025-09-15 |
| Sinohope Asset Management (Hong Kong) Limited 新火資產管理（香港）有限公司 |
RO | Type 4 — Advising on securities | 2024-12-20 | 2025-09-15 |
| Sinohope Asset Management (Hong Kong) Limited 新火資產管理（香港）有限公司 |
RO | Type 9 — Asset management | 2024-12-06 | 2025-09-15 |
| Sinohope Asset Management (Hong Kong) Limited 新火資產管理（香港）有限公司 |
Rep | Type 9 — Asset management | 2024-10-16 | 2024-12-06 |
| HC Securities (HK) Limited 海川證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2023-11-07 | 2024-06-30 |
| HC Securities (HK) Limited 海川證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2023-11-07 | 2024-06-30 |
| HC Securities (HK) Limited 海川證券(香港)有限公司 |
RO | Type 9 — Asset management | 2023-09-07 | 2024-06-30 |
| Macrowaters Asia Fund Management Limited 宏水亞洲基金管理有限公司 |
RO | Type 9 — Asset management | 2022-11-14 | 2023-03-13 |
| Eurizon Capital Asia Limited | RO | Type 1 — Dealing in securities | 2018-06-28 | 2022-05-01 |
| Eurizon Capital Asia Limited | RO | Type 4 — Advising on securities | 2016-10-26 | 2022-05-01 |
| Eurizon Capital Asia Limited | RO | Type 9 — Asset management | 2016-10-26 | 2022-05-01 |
| ABCI Asset Management Limited 農銀國際資産管理有限公司 |
RO | Type 4 — Advising on securities | 2013-11-11 | 2014-05-10 |
| ABCI Asset Management Limited 農銀國際資産管理有限公司 |
RO | Type 9 — Asset management | 2013-08-21 | 2014-05-10 |
| ABCI Asset Management Limited 農銀國際資産管理有限公司 |
Rep | Type 9 — Asset management | 2013-07-29 | 2013-08-21 |
| Guosen Securities (HK) Asset Management Company Limited 國信證券(香港)資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2011-09-26 | 2013-06-10 |
| Guosen Securities (HK) Asset Management Company Limited 國信證券(香港)資產管理有限公司 |
Rep | Type 9 — Asset management | 2011-09-26 | 2013-06-10 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2010-10-28 | 2011-08-24 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2010-10-28 | 2011-08-24 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2010-10-28 | 2011-08-24 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2010-10-28 | 2011-08-24 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2010-09-20 | 2011-08-24 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2008-04-01 | 2011-08-24 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2007-03-08 | 2010-10-28 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2007-03-08 | 2010-10-28 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2007-03-08 | 2011-08-24 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2007-03-08 | 2011-08-24 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2007-03-08 | 2011-08-24 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2007-03-08 | 2011-08-24 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2005-07-15 | 2007-03-08 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2005-07-15 | 2007-03-08 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2005-01-06 | 2010-10-28 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2005-01-06 | 2010-10-28 |
| AXA Rosenberg Investment Management Asia Pacific Limited 安盛羅森堡投資管理亞太有限公司(以AXARosenbergAsiaPacific;AXAInvestmentManagers名義經營業務) |
Rep | Type 4 — Advising on securities | present | 2004-11-30 |
| AXA Rosenberg Investment Management Asia Pacific Limited 安盛羅森堡投資管理亞太有限公司(以AXARosenbergAsiaPacific;AXAInvestmentManagers名義經營業務) |
Rep | Type 6 — Advising on corporate finance | present | 2004-11-30 |
| AXA Rosenberg Investment Management Asia Pacific Limited 安盛羅森堡投資管理亞太有限公司(以AXARosenbergAsiaPacific;AXAInvestmentManagers名義經營業務) |
Rep | Type 9 — Asset management | present | 2004-11-30 |