Derek Ho Yin Lee
李浩然
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Derek Ho Yin Lee (李浩然), a licensed Responsible Officer with CE reference AOR573. Currently licensed at 1 firm(s): Pollock Asset Management Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 23.
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 |
|---|---|---|---|---|
| Pollock Asset Management Limited 普樂資本有限公司 |
RO | Type 1 — Dealing in securities | 2019-09-06 | present |
| Pollock Asset Management Limited 普樂資本有限公司 |
RO | Type 4 — Advising on securities | 2019-09-06 | present |
| Pollock Asset Management Limited 普樂資本有限公司 |
RO | Type 9 — Asset management | 2019-09-06 | present |
| Pollock Asset Management Limited 普樂資本有限公司 |
Rep | Type 1 — Dealing in securities | 2019-09-06 | 2019-09-06 |
| Pollock Asset Management Limited 普樂資本有限公司 |
Rep | Type 4 — Advising on securities | 2019-09-06 | 2019-09-06 |
| Pollock Asset Management Limited 普樂資本有限公司 |
Rep | Type 9 — Asset management | 2019-09-06 | 2019-09-06 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2016-06-07 | 2018-01-01 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2016-06-07 | 2018-01-01 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
Rep | Type 9 — Asset management | 2016-06-07 | 2018-01-01 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2014-06-20 | 2016-06-07 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
RO | Type 4 — Advising on securities | 2014-06-20 | 2016-06-07 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
RO | Type 9 — Asset management | 2014-06-20 | 2016-06-07 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2013-11-28 | 2014-06-20 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2013-11-28 | 2014-06-20 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
Rep | Type 9 — Asset management | 2013-11-28 | 2014-06-20 |
| China Shenghai Investment Management Limited 中國盛海投資管理有限公司 |
RO | Type 1 — Dealing in securities | 2013-01-10 | 2013-11-11 |
| China Shenghai Investment Management Limited 中國盛海投資管理有限公司 |
RO | Type 4 — Advising on securities | 2013-01-10 | 2013-11-11 |
| China Shenghai Investment Management Limited 中國盛海投資管理有限公司 |
RO | Type 9 — Asset management | 2013-01-10 | 2013-11-11 |
| China Shenghai Investment Management Limited 中國盛海投資管理有限公司 |
Rep | Type 1 — Dealing in securities | 2011-07-11 | 2013-01-10 |
| China Shenghai Investment Management Limited 中國盛海投資管理有限公司 |
Rep | Type 4 — Advising on securities | 2011-07-11 | 2013-01-10 |
| China Shenghai Investment Management Limited 中國盛海投資管理有限公司 |
Rep | Type 9 — Asset management | 2011-07-11 | 2013-01-10 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-03-12 | 2011-03-25 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-03-12 | 2011-03-25 |