James Kwanwoo Rhee
李寬雨
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Kwanwoo Rhee (李寬雨), a licensed former licensee with CE reference AFY551. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CWB Hong Kong Limited |
RO | Type 9 — Asset management | 2021-09-13 | 2022-04-01 |
| Seres Asset Management Limited 瑞時投資管理有限公司 |
RO | Type 9 — Asset management | 2017-07-07 | 2020-10-09 |
| Seres Asset Management Limited 瑞時投資管理有限公司 |
Rep | Type 9 — Asset management | 2016-07-18 | 2017-07-07 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2006-06-23 | 2008-05-30 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-12-09 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-06-06 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-12-09 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2004-12-09 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2004-12-09 |