Jason Lee Kim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Jason Lee Kim ( ), a licensed former licensee with CE reference AQM091. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2022-09-08 | 2023-03-02 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2022-07-19 | 2023-03-02 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2022-07-04 | 2023-03-02 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2019-11-14 | 2022-04-02 |
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-09-27 | 2019-07-16 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-07-28 | 2018-09-27 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2016-09-08 | 2017-04-24 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 2 — Dealing in futures contracts | 2016-09-08 | 2017-04-24 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2016-02-05 | 2016-09-08 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-02-05 | 2016-09-08 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-01-21 | 2015-10-27 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-01-21 | 2015-10-27 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 1 — Dealing in securities | 2012-04-27 | 2013-08-10 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2008-02-06 | 2013-08-10 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-02-06 | 2013-08-10 |