Lisa Lee
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lisa Lee ( ), a licensed former licensee with CE reference AFU876. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-10-12 | 2015-05-23 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2010-09-21 | 2015-05-23 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2004-10-06 | 2010-08-13 |
| Macquarie Equities (Asia) Limited 麥格理證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-04-30 |
| Macquarie Equities (Asia) Limited 麥格理證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-04-30 |
| Macquarie Equities (Asia) Limited 麥格理證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-04-30 |
| Macquarie Equities (Asia) Limited 麥格理證券(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2003-04-30 |