Tony Sai Kuen Lee
李世權
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tony Sai Kuen Lee (李世權), a licensed Responsible Officer with CE reference AJH983. Currently licensed at 1 firm(s): J.P. Morgan Broking (Hong Kong) Limited. Active regulated activities: Type 4 — Advising on securities; Type 5 — Advising on futures contracts. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2014-04-03 | present |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2014-04-03 | present |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2011-09-26 | 2014-04-03 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2011-09-26 | 2014-04-03 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2008-05-22 | 2011-04-06 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-05-22 | 2011-04-06 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2008-05-22 | 2011-04-06 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2008-05-22 | 2011-04-06 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2007-07-10 | 2009-11-23 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 5 — Advising on futures contracts | 2007-07-10 | 2009-11-23 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-04-02 | 2009-11-23 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-04-02 | 2009-11-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2005-04-22 | 2007-03-03 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2005-04-22 | 2007-03-03 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2003-12-15 | 2005-04-22 |