Karen Yen Ching Lee
李燕菁
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Karen Yen Ching Lee (李燕菁), a licensed former licensee with CE reference AOY393. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Ortus Capital Management Limited 泓策投資管理有限公司 |
Rep | Type 9 — Asset management | 2013-01-29 | 2014-01-04 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-06-21 | 2012-04-25 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 — Dealing in securities | 2010-06-21 | 2012-04-25 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2010-06-21 | 2012-04-25 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-06-21 | 2012-04-25 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-05-21 | 2009-03-27 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-05-21 | 2009-03-27 |