Rosa Wai Tsang Lee
李惟琤
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Rosa Wai Tsang Lee (李惟琤), a licensed Responsible Officer with CE reference AIZ436. Currently licensed at 2 firm(s): Xin Yongan International Securities Company Limited, Xin Yongan International Asset Management Company Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 11.
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 |
|---|---|---|---|---|
| Xin Yongan International Securities Company Limited 新永安國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2024-01-05 | present |
| Xin Yongan International Asset Management Company Limited 新永安國際資產管理有限公司 |
RO | Type 4 — Advising on securities | 2024-01-05 | present |
| Xin Yongan International Asset Management Company Limited 新永安國際資產管理有限公司 |
RO | Type 9 — Asset management | 2024-01-05 | present |
| Grand Capital Securities Limited 大唐資本證券有限公司 |
RO | Type 1 — Dealing in securities | 2019-10-10 | 2024-01-04 |
| Grand Capital Securities Limited 大唐資本證券有限公司 |
RO | Type 4 — Advising on securities | 2019-10-10 | 2024-01-04 |
| Grand Capital Securities Limited 大唐資本證券有限公司 |
RO | Type 9 — Asset management | 2019-10-10 | 2024-01-04 |
| Zeta Capital (H.K.) Limited 思達資本(香港)有限公司 |
RO | Type 4 — Advising on securities | 2019-02-04 | 2019-10-08 |
| Zeta Capital (H.K.) Limited 思達資本(香港)有限公司 |
RO | Type 9 — Asset management | 2019-02-04 | 2019-10-08 |
| Ark Securities (Hong Kong) Limited 同舟證券(香港)有限公司 |
Rep | Type 9 — Asset management | 2010-01-13 | 2019-01-18 |
| Ark Securities (Hong Kong) Limited 同舟證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2007-01-04 | 2019-01-18 |
| Ark Securities (Hong Kong) Limited 同舟證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-08-12 | 2019-01-18 |