Shu Fan Lee
李樹勳
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shu Fan Lee (李樹勳), a licensed Representative with CE reference AVZ082. Currently licensed at 2 firm(s): Guotai Junan Securities (Hong Kong) Limited, Guotai Junan Futures (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-01-17 | present |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-01-17 | present |
| Guotai Junan FX Limited 國泰君安外匯有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2017-01-17 | 2017-09-11 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2012-04-02 | 2016-12-10 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-04-02 | 2016-12-10 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-09-30 | 2011-11-30 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 — Dealing in securities | 2010-09-30 | 2011-11-30 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2010-09-30 | 2011-11-30 |