Hoi Yan Lee
李凱欣
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Hoi Yan Lee (李凱欣), a licensed Responsible Officer with CE reference AJL855. Currently licensed at 1 firm(s): Ethk Securities Limited. Active regulated activities: Type 1 — Dealing in securities. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Ethk Securities Limited |
RO | Type 1 — Dealing in securities | 2020-05-13 | present |
| Prestige Securities Limited 盛德證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-09-03 | 2019-06-30 |
| Prestige Securities Limited 盛德證券有限公司 |
RO | Type 4 — Advising on securities | 2018-09-03 | 2019-06-30 |
| Beijing Securities Limited 北京證券有限公司 |
RO | Type 1 — Dealing in securities | 2017-11-10 | 2018-08-14 |
| Beijing Securities Limited 北京證券有限公司 |
RO | Type 4 — Advising on securities | 2017-11-10 | 2018-08-14 |
| Beijing Securities Limited 北京證券有限公司 |
Rep | Type 1 — Dealing in securities | 2012-12-17 | 2017-11-10 |
| Beijing Securities Limited 北京證券有限公司 |
Rep | Type 4 — Advising on securities | 2012-12-17 | 2017-11-10 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2008-03-18 | 2012-12-06 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-10-13 | 2012-12-06 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-10-13 | 2012-12-06 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-05-26 | 2006-09-18 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 1 — Dealing in securities | 2004-02-23 | 2006-09-18 |